The competition saw student teams evaluate the ethical dilemmas in a case study indicative of issues investment management practitioners face
The panel discussion was recorded at the 2016 IIROC compliance conference in Toronto
High-risk investing is not a band-aid solution for clients who have not saved enough for retirement
Many firms do not show consistently good practice across all products and services, U.K. study finds
Document aims to clarify firms’ obligations under the first phase of the Client Relationship Model rules
Although some firms have made progress in establishing client suitability in recent years, other firms need to make substantial improvements
HollisWealth reps sold exempt products to clients for almost eight years without properly ensuring their eligibility
The regulator’s compliance exams found weak suitability controls and significant weakness in supervision
Advisors need to keep an eye on the changes taking place among clients, markets and companies so they can make the necessary alterations to clients’ portfolios
Rep purchased unsuitable stocks for client’s registered retirement savings plan