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Keyword: Suitability

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advisor client meeting

FAIR Canada research finds investors worry about fees and suitability, and have low faith in regulatory protections

Female tax inspector looking at corporate financial documents with magnifying glass

Fines levied against reps last year soared to $7.9 million from $938,000 in 2021

Business lawyer team. Working together of lawyer in the meeting.

The firm will pay nearly $11 million in client compensation after reps boosted their own performance numbers

advisor client meeting

Advisors must show that clients understood an investment and its risks

Businessman analysis the stockmarket on labtop Stock Market Investment Online

Firm settles IIROC allegation of inadequately supervising new-issue trading

Dialogue bubble with five stars, customer satisfaction concept

A step-by-step approach

advisor with client

European regulators warn industry to pay special attention to inflation in disclosure and suitability

Magnifying glass icon in flat style. Search loupe on color background. Business analytic charts illustration. Vector design object for you project

Significant product changes offer opportunities to engage clients, get to know them better and address suitability

business growth

Stressed about the client-focused reforms? Try this different approach

client meeting

ESMA proposes making sustainability part of suitability