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Keyword: Suitability

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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

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


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


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


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