Official translations of the guidelines on certain aspects of the suitability requirements and format of the periodic statement for portfolio management activities under the EU Markets in Crypto ...

The Investment Dealers Association is proposing to limit the application of suitability to trades involving advice. Currently, all proposed trades, whether recommended or not, must be reviewed for ...

While everyone may be growing weary, the work to revise the state insurance standard of care for annuity transaction recommendations is not quite finished. There are still a number of miles left on ...

The Toronto Stock Exchange has proposed an amendment to its rules to accommodate the possible relaxation of suitability requirements for full-service dealers. The TSE is now requesting comment on a ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

FINRA Rule 2090 will impose a new requirement on many firms, that of “knowing your customer.” Firms that have not previously been subject to a Know-Your-Customer requirement are determining what facts ...

For years our industry has recognised that the advice gap has widened and continues to do so. This is made worse by the existence of a curious anomaly within the advice profession. Advisers say they ...