Suitability obligations – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Mon, 08 Apr 2024 19:35:33 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Suitability obligations – Investment Executive https://www.investmentexecutive.com 32 32 Do your notes pass the sniff test? https://www.investmentexecutive.com/inside-track_/ellen-bessner/do-your-notes-pass-the-sniff-test/ Mon, 08 Apr 2024 19:35:33 +0000 https://www.investmentexecutive.com/?p=483363 Here are three steps to prove suitability

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]]> ESMA finalizes first set of crypto standards https://www.investmentexecutive.com/news/from-the-regulators/esma-finalizes-first-set-of-crypto-standards/ Mon, 25 Mar 2024 17:56:39 +0000 https://www.investmentexecutive.com/?p=482660 Regulators craft detailed standards to implement new crypto regime

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]]> CIRO’s investor office sets broad agenda https://www.investmentexecutive.com/news/from-the-regulators/ciros-investor-office-sets-broad-agenda/ Tue, 14 Nov 2023 14:01:38 +0000 https://www.investmentexecutive.com/?p=475232 Group to focus on investor-advisor relationships, complaints, suitability

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]]> NASAA details investment advisers’ compliance issues https://www.investmentexecutive.com/news/from-the-regulators/nasaa-details-investment-advisers-compliance-issues/ Mon, 11 Sep 2023 18:17:24 +0000 https://www.investmentexecutive.com/?p=471326 Registration, record-keeping and supervisory deficiencies were most common in firms' exams

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]]> U.S. brokers need work on best interest compliance https://www.investmentexecutive.com/news/from-the-regulators/u-s-brokers-need-work-on-best-interest-compliance/ Tue, 05 Sep 2023 21:15:48 +0000 https://www.investmentexecutive.com/?p=471055 Firms make token effort to raise standards, cling to suitability, NASAA finds

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]]> Portfolio manager settles KYC, suitability issues https://www.investmentexecutive.com/news/from-the-regulators/portfolio-manager-settles-kyc-suitability-issues/ Thu, 27 Jul 2023 19:05:44 +0000 https://www.investmentexecutive.com/?p=469337 BCSC orders eight-year ban, alongside $60,000 penalty

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]]> ESMA examines impact of sustainable suitability rules https://www.investmentexecutive.com/news/from-the-regulators/esma-examines-impact-of-sustainable-suitability-rules/ Fri, 16 Jun 2023 19:17:19 +0000 https://www.investmentexecutive.com/?p=467486 Review to look at results of efforts to add sustainability factors to suitability, product governance requirements

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]]> Life agents falling short, FSRA finds https://www.investmentexecutive.com/news/from-the-regulators/life-agents-falling-short-fsra-finds/ Tue, 02 May 2023 18:39:22 +0000 https://www.investmentexecutive.com/?p=464773 Almost half of high-risk agent reviews found best-practice failures

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]]> Firms falling short of “best interest” standards: SEC https://www.investmentexecutive.com/news/from-the-regulators/firms-falling-short-of-best-interest-standards-sec/ Mon, 30 Jan 2023 20:22:46 +0000 https://www.investmentexecutive.com/?p=459446 Regulator's reviews uncover shortcomings in brokers' Reg BI compliance

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]]> Questions to assess the best kept secret about KYC https://www.investmentexecutive.com/inside-track_/ellen-bessner/questions-to-assess-the-best-kept-secret-about-kyc/ Tue, 18 Oct 2022 19:00:36 +0000 https://www.investmentexecutive.com/?p=453690 Advisors must show that clients understood an investment and its risks

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