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Keyword: Suitability

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Couple getting financial retirement advice from consultant at home

The CSA warns the industry against abuses as bans loom for trailers, DSCs

advisor client meeting

FCA consulting on improvements to retail investment markets

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

OSC report details improvement, along with persistent compliance issues

Court.

The inadequate supervision involved suitability, concentration in sector funds

Red alert

Regulator seeks to address concerns about client over-concentration

oad sign for kangaroos in Australia

Royal commission found clients charged for advice they never received

The search for higher returns is leading investors to fraudulent or unsuitable products

EU flags waving in front of European Parliament building. Brussels, Belgium

Review will examine implementation of MiFID II requirements

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

Firm failed to question sales on risky exempt securities to certain clients

Shot of a group of young businesspeople using a laptop during a meeting in the boardroom of a modern office

ShelfMonitor scans for changes to investment products

  • By: IE Staff
  • January 14, 2020 January 14, 2020
  • 12:02