Best interest standard – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Fri, 17 Jan 2025 21:22:24 +0000 en-US hourly 1 https://wordpress.org/?v=6.1.1 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Best interest standard – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 Firms shortchanged cash sweep clients: SEC https://uat-phoenix.investmentexecutive.com/news/firms-shortchanged-cash-sweep-clients-sec/ Fri, 17 Jan 2025 21:22:24 +0000 https://www.investmentexecutive.com/?p=500436 Closing the gap between mutual, seg fund regulation https://uat-phoenix.investmentexecutive.com/news/closing-the-gap-between-mutual-seg-fund-regulation/ Wed, 08 Jan 2025 21:02:41 +0000 https://www.investmentexecutive.com/?p=499805 Robo advisor sanctioned over CFR shortcomings https://uat-phoenix.investmentexecutive.com/news/robo-advisor-sanctioned-over-cfr-shortcomings/ Tue, 03 Dec 2024 13:56:42 +0000 https://www.investmentexecutive.com/?p=497778 NASAA adds best interest standard to model rule https://uat-phoenix.investmentexecutive.com/news/nasaa-adds-best-interest-standard-to-model-rule/ Mon, 04 Nov 2024 19:53:45 +0000 https://www.investmentexecutive.com/?p=495966 SEC targets brokers’ best interests compliance https://uat-phoenix.investmentexecutive.com/news/sec-targets-brokers-best-interests-compliance/ Tue, 22 Oct 2024 00:21:53 +0000 https://www.investmentexecutive.com/?p=495215 Banks face profit pressure from tougher U.K. rules https://uat-phoenix.investmentexecutive.com/news/banks-face-profit-pressure-from-tougher-u-k-rules/ Mon, 29 Jul 2024 19:41:14 +0000 https://www.investmentexecutive.com/?p=490145 Leverage pre-trade compliance to drive value https://uat-phoenix.investmentexecutive.com/inside-track_/leverage-pre-trade-compliance-to-drive-value/ Mon, 10 Jun 2024 19:58:42 +0000 https://www.investmentexecutive.com/?p=487443 Advisors face new U.S. fiduciary requirements https://uat-phoenix.investmentexecutive.com/news/advisors-face-new-u-s-fiduciary-requirements/ Wed, 24 Apr 2024 18:10:03 +0000 https://www.investmentexecutive.com/?p=484685 CIRO panel sanctions fund rep over conflicts https://uat-phoenix.investmentexecutive.com/news/ciro-panel-sanctions-fund-rep-over-conflicts/ Fri, 08 Mar 2024 19:43:38 +0000 https://www.investmentexecutive.com/?p=481911 OSC shines a light on “dark” arts of online investing https://uat-phoenix.investmentexecutive.com/news/osc-shines-a-light-on-dark-arts-of-online-investing/ Wed, 21 Feb 2024 19:15:10 +0000 https://www.investmentexecutive.com/?p=480811