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Keyword: Suitability

76 results found
Big binders

Decision on tougher investor protection measures coming by end of 2025

Dominos falling

Draft guidance forms part of larger effort to improve industry conduct

three colleagues discussing their business prospects and looking at laptop screen

Regulators to explore the regulation, provision of advice online

investor protection

Group to focus on investor-advisor relationships, complaints, suitability

penalty card

Collections plunge as hefty sanctions are handed out

businessman running

Regulator proposes guidance for assessing the fitness of management, large shareholders under new crypto regime

thumbs down

JRC report details complaints to OBSI involving mutual fund suitability, low-ball settlements

rules and regulations

Canada remained the last G20 country without conduct standards for OTC derivatives markets

digital euro

European regulators say financial institutions should make "extra efforts" to ensure investors are aware of how inflation affects real returns

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

Registration, record-keeping and supervisory deficiencies were most common in firms' exams