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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


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