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Keyword: Suitability

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European regulators warn industry to pay special attention to inflation in disclosure and suitability

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Significant product changes offer opportunities to engage clients, get to know them better and address suitability

business growth

Stressed about the client-focused reforms? Try this different approach

client meeting

ESMA proposes making sustainability part of suitability

client meeting

Don’t fall for clients’ demands for unsuitable investments

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

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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