Keyword: Suitability

27 results found
Closeup of mallet being hit on stacked coins at table in courtroom

The former broker admitted to recommending unsuitable high-risk investments to multiple clients

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

The SRO issued a report Wednesday analyzing data from its client research project

The competition saw student teams evaluate the ethical dilemmas in a case study indicative of issues investment management practitioners face

  • By: Leah Golob
  • June 16, 2017 December 19, 2017
  • 10:49

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