The aim is to avoid conflicts of interest when selecting reps to attend conferences
Products that can’t be transferred to a new fund dealer should be specifically disclosed to clients at the point of sale
The review to assess operational practices began in November
Lower target weights announced for the Canadian dollar, U.K. pound and Mexican peso
Moody’s liquidity stress index fell below its historical average of 6.8% in October, a milestone related to the gradual let-up of challenges in the oil and gas sector
Compensation models reward reps for selling certain products
120 currency exchange houses have been identified by the Central Bank of Iraq as being in territory that is accessible by Daesh
Firms sanctioned for failing to protect records from alteration
The use of internal models by financial institutions has increased
Regulators are concerned that retail investors may not be able to assess the risks associated with these complex products