Keyword: Suitability

Client risk tolerance rarely assessed accurately

Avoid these common mistakes in determining the risk profiles of your clients

• By: Megan Harman
• September 17, 2012 September 17, 2012
• 07:20

Former rep fined $200,000 for suitability failures

Clients lost approximately $1.2 million in aggressive investment strategy

• By: Megan Harman
• June 22, 2012 June 22, 2012
• 10:00

Ex Thunder Bay rep fined $20,000

IIROC panel finds former Wellington West rep failed to ensure his recommendations were suitable for his clients

• By: IE Staff
• March 19, 2012 March 19, 2012
• 11:30

Lawyer: “Insurers deny existence of supervision” article image

Lawyer: “Insurers deny existence of supervision”

• By: Harold Geller
• February 25, 2011 December 15, 2017
• 13:18

Newlink’s Innes: MGA licensing, regulations on the way article image

Newlink’s Innes: MGA licensing, regulations on the way

• By: Byren Innes
• February 10, 2011 December 15, 2017
• 20:30