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Keyword: Suitability

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Euro map

European regulators make recommendations for revitalizing capital markets

Silhouette of man at sunset

Expanding access to advice, standardizing KYC data collection on SRO's agenda


Regulators craft detailed standards to implement new crypto regime


Regulator details results of review, calls for action from firms

business people standing in line under a magnifying glass

The Ontario regulator discussed proposed licensing suitability guidance during a webinar on Wednesday

Big binders

Decision on tougher investor protection measures coming by end of 2025

Dominos falling

Draft guidance forms part of larger effort to improve industry conduct

three colleagues discussing their business prospects and looking at laptop screen

Regulators to explore the regulation, provision of advice online

investor protection

Group to focus on investor-advisor relationships, complaints, suitability

penalty card

Collections plunge as hefty sanctions are handed out