Suitability – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Tue, 04 Feb 2025 18:33:21 +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 Suitability – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 FINRA sanctions custody firm https://uat-phoenix.investmentexecutive.com/news/finra-sanctions-custody-firm/ Tue, 04 Feb 2025 18:33:21 +0000 https://www.investmentexecutive.com/?p=501686 CFR compliance sweep report on tap https://uat-phoenix.investmentexecutive.com/news/cfr-compliance-sweep-report-on-tap/ Fri, 31 Jan 2025 21:06:13 +0000 https://www.investmentexecutive.com/?p=501492 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 Europe gears up for new crypto rules https://uat-phoenix.investmentexecutive.com/news/europe-gears-up-for-new-crypto-rules/ Tue, 17 Dec 2024 18:55:32 +0000 https://www.investmentexecutive.com/?p=498702 Review finds crypto firms sloppy with KYC too https://uat-phoenix.investmentexecutive.com/news/review-finds-crypto-firms-sloppy-with-kyc-too/ Tue, 10 Dec 2024 20:53:07 +0000 https://www.investmentexecutive.com/?p=498285 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 CIRO sanctions supervisory lapses at Desjardins https://uat-phoenix.investmentexecutive.com/news/ciro-sanctions-supervisory-lapses-at-desjardins/ Fri, 15 Nov 2024 14:16:00 +0000 https://www.investmentexecutive.com/?p=496774 Fund rep sanctioned for allowing ‘stealth advising’ https://uat-phoenix.investmentexecutive.com/news/fund-rep-sanctioned-for-allowing-stealth-advising/ Wed, 06 Nov 2024 18:18:10 +0000 https://www.investmentexecutive.com/?p=496155 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 CIRO unveils next wave of rule consolidation https://uat-phoenix.investmentexecutive.com/news/ciro-unveils-next-wave-of-rule-consolidation/ Thu, 17 Oct 2024 20:40:49 +0000 https://www.investmentexecutive.com/?p=494971