Suitability – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 11 Apr 2024 19:46:24 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Suitability – Investment Executive https://www.investmentexecutive.com 32 32 CIRO sketches three-year strategic vision https://www.investmentexecutive.com/news/from-the-regulators/ciro-sketches-three-year-strategic-vision/ Thu, 11 Apr 2024 19:17:38 +0000 https://www.investmentexecutive.com/?p=483589 Expanding access to advice, standardizing KYC data collection on SRO's agenda

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]]> ESMA finalizes first set of crypto standards https://www.investmentexecutive.com/news/from-the-regulators/esma-finalizes-first-set-of-crypto-standards/ Mon, 25 Mar 2024 17:56:39 +0000 https://www.investmentexecutive.com/?p=482660 Regulators craft detailed standards to implement new crypto regime

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]]> FCA finds fault in firms’ retirement advice https://www.investmentexecutive.com/news/from-the-regulators/fca-finds-fault-in-firms-retirement-advice/ Wed, 20 Mar 2024 19:22:10 +0000 https://www.investmentexecutive.com/?p=482408 Regulator details results of review, calls for action from firms

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]]> What happens if FSRA finds a life agent unsuitable https://www.investmentexecutive.com/news/industry-news/what-happens-if-fsra-finds-a-life-agent-unsuitable/ Wed, 17 Jan 2024 20:27:06 +0000 https://www.investmentexecutive.com/?p=478812 The Ontario regulator discussed proposed licensing suitability guidance during a webinar on Wednesday

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]]> OSC aces audit follow-up, government needs work https://www.investmentexecutive.com/news/from-the-regulators/osc-aces-audit-follow-up-government-needs-work/ Wed, 06 Dec 2023 19:42:17 +0000 https://www.investmentexecutive.com/?p=476695 Decision on tougher investor protection measures coming by end of 2025

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]]> FSRA proposes guidance on life agent fitness https://www.investmentexecutive.com/news/from-the-regulators/fsra-proposes-guidance-on-life-agent-fitness/ Wed, 22 Nov 2023 18:06:10 +0000 https://www.investmentexecutive.com/?p=475869 Draft guidance forms part of larger effort to improve industry conduct

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]]> OSC priorities include lifting limitations on advice https://www.investmentexecutive.com/news/from-the-regulators/osc-priorities-include-lifting-limitations-on-advice/ Thu, 16 Nov 2023 20:44:05 +0000 https://www.investmentexecutive.com/?p=475492 Regulators to explore the regulation, provision of advice online

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]]> CIRO’s investor office sets broad agenda https://www.investmentexecutive.com/news/from-the-regulators/ciros-investor-office-sets-broad-agenda/ Tue, 14 Nov 2023 14:01:38 +0000 https://www.investmentexecutive.com/?p=475232 Group to focus on investor-advisor relationships, complaints, suitability

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]]> Complaint volumes surging, CIRO reports https://www.investmentexecutive.com/news/from-the-regulators/complaint-volumes-surging-ciro-reports/ Wed, 25 Oct 2023 19:48:05 +0000 https://www.investmentexecutive.com/?p=473985 Collections plunge as hefty sanctions are handed out

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]]> ESMA seeks fit check for crypto sector https://www.investmentexecutive.com/news/from-the-regulators/esma-seeks-fit-check-for-crypto-sector/ Fri, 20 Oct 2023 17:51:50 +0000 https://www.investmentexecutive.com/?p=473756 Regulator proposes guidance for assessing the fitness of management, large shareholders under new crypto regime

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