A major revamp of suitability mandates taking effect July 9 has some in the broker-dealer world worried about much broader obligations to oversee customer accounts and investment strategies. Of ...

The Financial Industry Regulatory Authority Inc. has eased up on a controversial interpretation of its new suitability rule in a move that is bound to make the industry happy. In new guidance issued ...

Investment advisors and other financial professionals must adhere to a certain standard of responsibility toward their clients. These standards may be defined as either suitability or fiduciary. Learn ...

The Mutual Fund Dealers Association of Canada (MFDA) has published a new research paper that aims to demystify the concept of suitability by surveying regulatory enforcement cases that have brought ...

There is a tug of war in Washington over the advisability of making private market investments more readily available to retail investors. On September 28, the Securities and Exchange Commission’s ...

Explain why investment trusts may be suitable for certain clients. Describe key elements of investment trusts and how they work. Understand how they can be used effectively to augment certain client ...

This article was written by Nadia Humphreys, Business Manager, Sustainable Finance Solutions at Bloomberg, Co-rapporteur on the Platform for Sustainable Finance of the European Commission. Since ...

After engaging with this content, which carries an indicative 30 minutes of CPD, you will be able to: Explain why investment trusts may be suitable for certain clients. Describe key elements of ...