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Keyword: Suitability

22 results found
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Are you still not getting KYC and suitability right?

The OSC says there is a lot of room for improvement in its 2019 summary report

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CSA rules on incentives inadequate, IOSCO finds

The shortcomings may be addressed through the CSA's client-focused reforms

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Former MFDA rep permanently banned for suitability failures

Clients were advised to concentrate their holdings in precious metals sector funds

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Sales practices, suitability remain concerns for OSC

Referral cases more than doubled from 2018 to 2019

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Toronto advisor fined for making unsuitable recommendations

Rep recommended and implemented extensive margin use for two retired clients

  • May 9, 2019 October 7, 2019
  • 14:00
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Former rep sanctioned for suitability failures

The former broker admitted to recommending unsuitable high-risk investments to multiple clients

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

MFDA flags KYC issues, concentration risks among reps

The SRO issued a report Wednesday analyzing data from its client research project

Queen’s students awarded in first ever CFA Canadian Ethics Challenge

The competition saw student teams evaluate the ethical dilemmas in a case study indicative of issues investment management practitioners face

  • By: Leah Golob
  • June 16, 2017 December 19, 2017
  • 10:49

IIROC webcast examines automated advice and suitability

The panel discussion was recorded at the 2016 IIROC compliance conference in Toronto

Don’t make your clients’ problems your own

High-risk investing is not a band-aid solution for clients who have not saved enough for retirement