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KYC, KYP and suitability

Interview of Paula Virany, Marsha Gerhart |

Marsha Gerhart, counsel, Borden Ladner Gervais, gives tips on KYC, KYP and suitability for registrants. She drills down into the specific requirements for exempt market dealers and explains the interdependence of knowing your client, knowing the product and determining suitability. Gerhart spoke to Paula Virany, multimedia editor for Investment Executive, at the 2013 EMDA Exempt Market Dealers conference in Toronto.