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Keyword: Suitability

47 results found
client meeting

ESMA proposes making sustainability part of suitability

client meeting

Don’t fall for clients’ demands for unsuitable investments

gavel

The SRO withdrew the allegation after settling with the firm's former head

Target hit in the center by arrow

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

rubber stamp

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

Closeup of mallet being hit on stacked coins at table in courtroom

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

gavel

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