European regulators warn industry to pay special attention to inflation in disclosure and suitability
Significant product changes offer opportunities to engage clients, get to know them better and address suitability
Stressed about the client-focused reforms? Try this different approach
ESMA proposes making sustainability part of suitability
Don’t fall for clients’ demands for unsuitable investments
The SRO withdrew the allegation after settling with the firm's former head
The U.K. regulator unveiled a three-year strategy to combat an array of investor harms
Revised KYP and product due diligence guidance accompany the rule changes
IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say
The US$8.1-million settlement will be distributed to harmed investors