Do your notes pass the sniff test?
Here are three steps to prove suitability
Here are three steps to prove suitability
Mitigate your risk amid potential enforcement delays, CFR audits
Protect your business, reputation and clients by knowing your rights and obligations
Follow these tips to protect your licence and reputation
Protect yourself by creating a robust client communication trail
No matter where you are in your career, compliance requirements are a must
Teach clients to meet you halfway — here’s how
Advisors must show that clients understood an investment and its risks
Advisors ignore this important know-your-client item to their detriment
Fulfil your KYC obligations without infringing on client privacy
Advisors who leave the industry to avoid investigations and hearings suffer more severe penalties
Focus on a target market and meet your regulatory obligations
Stressed about the client-focused reforms? Try this different approach
Don’t fall for clients’ demands for unsuitable investments
Understand how a settlement can unexpectedly affect you
Three questions to ask to protect yourself and your business
Regulators measure their success based in part on how many enforcement matters they open and prosecute
A step-by-step guide to navigating the mountain of rules you must follow to protect your licence, reputation and livelihood
Clients may prefer communicating by text, but texting clients comes with risks
Ellen Bessner returns with one last Positive Note for 2020
Sometimes it’s suitable for your clients’ investments to be less risky than their maximum risk tolerance
Now is the time to update your clients’ KYC and think about their risk capacity
How to avoid the most common legal and regulatory infractions
Your team is crucial to building client trust during this pandemic and beyond
This pandemic is an opportunity to build trust by showing clients your value