Regulator details vision for retail funds that hold long-term assets
Use these three steps to deal with clients who insist on unsuitable investments
Advisors should conduct independent analysis, educate clients, write detailed notes
OSC finds investors favour human-AI combo, no fear of AI advice
Poorly designed KYC questionnaires at the heart of recent enforcement actions
Competition and regulation pressuring firms' margins, earnings
U.K. firms failing to meet new investor protection standards, review finds
Fund manager, H2O, agrees to provide €250 million to unitholders
Risky firms, crypto platforms add to compliance division's workload
Fraud claims pass suitability issues among investment cases