Suitability | Investment Executive https://www.investmentexecutive.com/tag/suitability/ Canada's news source for financial professionals Thu, 29 Jan 2026 22:14:04 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Suitability | Investment Executive https://www.investmentexecutive.com/tag/suitability/ 32 32 OSFI consults on regime for industry accountability https://www.investmentexecutive.com/news/osfi-consults-on-regime-for-industry-accountability/ Thu, 29 Jan 2026 22:14:04 +0000 https://www.investmentexecutive.com/?p=530675 Regulator seeks suitability standards for senior industry personnel

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]]> How firms can close the gaps on client-focused reforms https://www.investmentexecutive.com/news/how-firms-can-close-the-gaps-on-client-focused-reforms/ Thu, 29 Jan 2026 19:02:32 +0000 https://www.investmentexecutive.com/?p=530588 Industry experts offer tips after regulators find shortcomings in suitability, KYP and KYC compliance

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]]> Firms falling short at selling complex products: FCA https://www.investmentexecutive.com/news/firms-falling-short-at-selling-complex-products-fca/ Mon, 12 Jan 2026 20:04:00 +0000 https://www.investmentexecutive.com/?p=529167 Risk of retail investor harm from poor controls, disclosure, review finds

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]]> FCA tackles U.K.’s large advice gap https://www.investmentexecutive.com/news/from-the-regulators/fca-tackles-u-k-s-large-advice-gap/ Thu, 11 Dec 2025 21:51:57 +0000 https://www.investmentexecutive.com/?p=527609 Regulator details plans for "targeted support" framework to launch in 2026

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]]> Industry falling short on CFR compliance: CSA, CIRO https://www.investmentexecutive.com/news/from-the-regulators/industry-falling-short-on-cfr-compliance-csa-ciro/ Wed, 10 Dec 2025 17:50:45 +0000 https://www.investmentexecutive.com/?p=527418 Review documents failings in meeting KYC, KYP, suitability requirements

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]]> Broker failed to supervise front-end fund sales: FINRA https://www.investmentexecutive.com/news/broker-failed-to-supervise-front-end-fund-sales-finra/ Wed, 03 Dec 2025 20:13:38 +0000 https://www.investmentexecutive.com/?p=526909 SRO alleged investors paid US$2 million in fees for short-term sales

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]]> ESMA targets retail conflicts of interest https://www.investmentexecutive.com/news/esma-targets-retail-conflicts-of-interest/ Wed, 03 Dec 2025 20:05:18 +0000 https://www.investmentexecutive.com/?p=526916 Compliance review will examine industry conflicts with investors' interests

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]]> Court rejects FSRA appeal on agent’s licensing https://www.investmentexecutive.com/news/court-rejects-fsra-appeal-on-agents-licensing/ Fri, 28 Nov 2025 21:59:06 +0000 https://www.investmentexecutive.com/?p=526590 Tribunal made no error in overruling regulator, court finds

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]]> OSC flags concerns with firms’ digital tactics https://www.investmentexecutive.com/news/osc-flags-concerns-with-firms-digital-tactics/ Wed, 22 Oct 2025 18:26:51 +0000 https://www.investmentexecutive.com/?p=523331 Firms using digital engagement practices for good and ill, review finds

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]]> Firms falling short on KYC, suitability: BCSC https://www.investmentexecutive.com/news/from-the-regulators/firms-falling-short-on-kyc-suitability-bcsc/ Wed, 01 Oct 2025 18:23:53 +0000 https://www.investmentexecutive.com/?p=521650 Regulator issues report card on Client Focused Reforms compliance

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