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Keyword: Suitability

44 results found
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The U.K. regulator unveiled a three-year strategy to combat an array of investor harms

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Revised KYP and product due diligence guidance accompany the rule changes

rules and regulations

IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say

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The US$8.1-million settlement will be distributed to harmed investors

client meeting

Advisors must “put the client’s interest first” when making a recommendation

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Misguided faith in tactical trading strategy led to the violations

business people standing in line under a magnifying glass

FINRA has fined the firm and ordered restitution for early rollover recommendations

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Rep violated suitability obligations by investing clients in funds with risky holdings

A new MFDA paper aims to take the mystery out of client vulnerability

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Court finds an investor's portfolio was too heavily concentrated in preferred shares, but that its low-risk strategy was appropriate