ESMA issues series of guidance ahead of new regime's launch at year end
OSC sweep uncovered issues with firms' account opening, client limits
Compliance sweep in 2022 found WealthBar wasn't meeting new standards
Firm failed to oversee trading activity by a couple of its reps
Leverage strategy deployed on the down low resulted in hefty financial losses
Group seeks revisions to U.S. state rule that match SEC's Reg BI reforms
Approval regime, proficiency are among areas covered in latest consultation
Regulator details vision for retail funds that hold long-term assets
Use these three steps to deal with clients who insist on unsuitable investments
Advisors should conduct independent analysis, educate clients, write detailed notes