Suitability obligations | Investment Executive https://www.investmentexecutive.com/tag/suitability-obligations/ Canada's news source for financial professionals Wed, 03 Dec 2025 20:13:38 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Suitability obligations | Investment Executive https://www.investmentexecutive.com/tag/suitability-obligations/ 32 32 Broker failed to supervise front-end fund sales: FINRA https://www.investmentexecutive.com/news/broker-failed-to-supervise-front-end-fund-sales-finra/ Wed, 03 Dec 2025 20:13:38 +0000 https://www.investmentexecutive.com/?p=526909 SRO alleged investors paid US$2 million in fees for short-term sales

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]]> Firms falling short on KYC, suitability: BCSC https://www.investmentexecutive.com/news/from-the-regulators/firms-falling-short-on-kyc-suitability-bcsc/ Wed, 01 Oct 2025 18:23:53 +0000 https://www.investmentexecutive.com/?p=521650 Regulator issues report card on Client Focused Reforms compliance

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]]> NASAA beefs up guidance on REITs https://www.investmentexecutive.com/news/from-the-regulators/nasaa-beefs-up-guidance-on-reits/ Tue, 09 Sep 2025 20:54:12 +0000 https://www.investmentexecutive.com/?p=519524 Conduct standards, suitability requirements revised

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]]> CIRO proposes new guidance for DIY investing https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-new-guidance-for-diy-investing/ Tue, 12 Aug 2025 13:00:00 +0000 https://www.investmentexecutive.com/?p=517314 SRO would allow discount brokers to boost communication with investors

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]]> IAP highlights CFRs, OBSI, geopolitical risks https://www.investmentexecutive.com/news/from-the-regulators/iap-highlights-cfrs-obsi-geopolitical-risks/ Wed, 28 May 2025 13:26:37 +0000 https://www.investmentexecutive.com/?p=510734 Binding authority for investor dispute resolution body OBSI should be priority, investor advocacy group says

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]]> ESMA rethinks retail investor protection https://www.investmentexecutive.com/news/from-the-regulators/esma-rethinks-retail-investor-protection/ Wed, 21 May 2025 17:31:42 +0000 https://www.investmentexecutive.com/?p=510259 Consultation examines whether rules are helping, or hurting, investors

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]]> FCA finds failings at smaller firms https://www.investmentexecutive.com/news/from-the-regulators/fca-finds-failings-at-smaller-firms/ Thu, 08 May 2025 18:00:27 +0000 https://www.investmentexecutive.com/?p=509324 U.K. regulator's review IDs weaknesses in high-risk product sales, conflicts and conduct standards

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]]> CIRO panel rejects allegations against ex-rep https://www.investmentexecutive.com/news/from-the-regulators/ciro-panel-rejects-allegations-against-ex-rep/ Tue, 29 Apr 2025 21:18:02 +0000 https://www.investmentexecutive.com/?p=508349 Panel believed rep's evidence over allegations from former client

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]]> Regulators to explore e-KYC, portable data https://www.investmentexecutive.com/news/from-the-regulators/regulators-to-explore-e-kyc-portable-data/ Tue, 18 Feb 2025 18:48:43 +0000 https://www.investmentexecutive.com/?p=502678 CSA unveils first project under new effort to test industry innovations

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]]> CFR compliance sweep report on tap https://www.investmentexecutive.com/news/from-the-regulators/cfr-compliance-sweep-report-on-tap/ Fri, 31 Jan 2025 21:06:13 +0000 https://www.investmentexecutive.com/?p=501492 CIRO, CSA to publish joint report on CFR sweep in first half

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