Suitability | Investment Executive https://www.investmentexecutive.com/tag/suitability/ Canada's news source for financial professionals Wed, 03 Dec 2025 20:13:38 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 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 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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]]> NASAA beefs up guidance on REITs https://www.investmentexecutive.com/news/from-the-regulators/nasaa-beefs-up-guidance-on-reits/ Tue, 09 Sep 2025 20:54:12 +0000 https://www.investmentexecutive.com/?p=519524 Conduct standards, suitability requirements revised

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]]> CIRO proposes new guidance for DIY investing https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-new-guidance-for-diy-investing/ Tue, 12 Aug 2025 13:00:00 +0000 https://www.investmentexecutive.com/?p=517314 SRO would allow discount brokers to boost communication with investors

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]]> Agent sanctioned for KYC, client fundraiser https://www.investmentexecutive.com/news/from-the-regulators/agent-sanctioned-for-kyc-client-fundraiser/ Tue, 12 Aug 2025 07:47:00 +0000 https://www.investmentexecutive.com/?p=517308 Rep started a GoFundMe to help out a client breached privacy obligation

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]]> OSC review flags personal corporation concerns https://www.investmentexecutive.com/news/from-the-regulators/osc-review-flags-personal-corporation-concerns/ Thu, 24 Jul 2025 20:25:20 +0000 https://www.investmentexecutive.com/?p=516003 Compliance division's annual report details exam findings at directly regulated firms

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]]> ESMA rethinks retail investor protection https://www.investmentexecutive.com/news/from-the-regulators/esma-rethinks-retail-investor-protection/ Wed, 21 May 2025 17:31:42 +0000 https://www.investmentexecutive.com/?p=510259 Consultation examines whether rules are helping, or hurting, investors

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