The U.K. regulator unveiled a three-year strategy to combat an array of investor harms
Revised KYP and product due diligence guidance accompany the rule changes
IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say
The US$8.1-million settlement will be distributed to harmed investors
Advisors must “put the client’s interest first” when making a recommendation
Misguided faith in tactical trading strategy led to the violations
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