The firm will pay nearly $11 million in client compensation after reps boosted their own performance numbers
Advisors must show that clients understood an investment and its risks
Firm settles IIROC allegation of inadequately supervising new-issue trading
A step-by-step approach
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