New report that proposes investor protection principles
IIROC panel says rep recommended a structured product without fully understanding it
New requirements introduced earlier this month aim to provide investors with an added level of protection
Rule changes address relationship disclosure, conflicts of interest, suitability and performance reporting
Comments due by Dec. 16
Deficiencies at De Thomas Financial earn $10,000 fine
Dealers and advisors obligated to “know your client”, “know your product”
Complaint numbers up as consumer awareness grows
Retail investors want greater accountability from both dealers and regulators
Insurance industry retail suitability requirements less rigourous, report finds