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iTWire Monday, 17 May 2021 23:57 TIO investigation finds poor sales practices, hidden costs and unclear information affecting telco consumers
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online information about telco products and services can be difficult to find and understand,
telcos do not always responsibly promote or sell their products and services, and
consumers sometimes unknowingly sign up for products or services they do not need.
Complaints to the TIO can be the tip of the iceberg, according to the organisation.
In one case. the TIO reports receiving just under 100 complaints about a telco’s selling practices during a promotion. After the TIO began looking into these complaints, the telco recognised the problem was widespread and credited a total of more than $1.4 million to over 10,000 affected consumers. The telco also improved its processes for future promotions.
Wednesday, April 14, 2021
Last month, the SEC Division of Examinations (the Division ; formerly the Office of Compliance Inspections and Examinations ) released its annual Examination Priorities for 2021. RIAs and their Chief Compliance Officers are advised to review the whole report, which can be found
here. Financial advisers registered with the SEC should expect 2021 examinations to focus on the following areas:
Standards of Conduct: The Division will assess whether RIAs have fulfilled their fiduciary duty comprised of the duty of loyalty and duty of care to their client. RIAs should also expect continued examination of their Form CRS, including a focus on readability for clients and timely submission.
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Last month, the SEC Division of Examinations (the Division ; formerly the Office of Compliance Inspections and Examinations ) released its annual Examination Priorities for 2021. RIAs and their Chief Compliance Officers are advised to review the whole report, which can be found
here. Financial advisers registered with the SEC should expect 2021 examinations to focus on the following areas:
Standards of Conduct: The Division will assess whether RIAs have fulfilled their fiduciary duty comprised of the duty of loyalty and duty of care to their client. RIAs should also expect continued examination of their Form CRS, including a focus on readability for clients and timely submission.