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KYC and suitability proposals raise the bar

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Home In Depth Special Reports Upcoming regulatory changes: How to avoid the minefields KYC and suitability proposals raise the bar

Upcoming regulatory changes: How to avoid the minefields

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KYC and suitability proposals raise the bar

In part two of a six-part series on targeted regulatory reforms, Dan Richards, CEO, Client Insights, speaks with Lynn McGrade, partner at Borden Ladner Gervais LLP, about the CSA’s proposed changes to know-your-client and suitability that would significantly raise professional standards for advisors.

  • By: Dan Richards, Lynn McGrade
  • October 3, 2016 November 9, 2019
  • 05:30
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Dan RichardsLynn McGrade
  • Related news

  • Regulators divided over best interest standard

  • Regulators propose dramatic expansion of KYP requirements

  • Regulators propose restrictions on titles and designations

  • Understanding the CSA’s conflicts of interest proposals

  • What advisors need to know about the CSA’s “best interest” standard

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