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
Advisors must “put the client’s interest first” when making a recommendation
Misguided faith in tactical trading strategy led to the violations
FINRA has fined the firm and ordered restitution for early rollover recommendations
Rep violated suitability obligations by investing clients in funds with risky holdings