US study finds about one in 15 advisers has a history of ‘serious misconduct’ with rate rising to one in six in certain regions and firms
US study finds about one in 15 advisers has a history of ‘serious misconduct’, with rate rising to one in six in certain regions and firms
What can be done? One solution is “naming and shaming” firms with poor records, which has been shown to reduce misconduct by 10 per cent. Another possible solution is greater financial education, as many people struggle to understand financial products, making it tricky for them to identify bad advisers.
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