Skip to Content
↵ENTER
Skip to Menu
↵ENTER
Skip to Footer
↵ENTER
  • CE Corner
  • Webinars
  • Soundbites
Investment Executive
  • Log in
  • Subscribe

PMAC 2013: Inadequate KYC poses greatest compliance concern

  • Share
  • Facebook
  • LinkedIn
  • Twitter
  • Mail to a fried
  • Print
  • News
    • Industry News
    • From the Regulators
    • People
    • Products
    • Research and Markets
  • Report Cards
  • Insight
    • Editorials
    • Columns
    • Letters to the Editor
  • In Depth
    • Special Reports
    • Report Cards
    • Magazines
    • Partner Reports
    • Expert Advice
  • Inside Track
  • Brand Knowledge
  • Newspaper
  • Tools
    • CE Corner
    • Webinars
    • For Your Clients
    • Partners’ Place
    • Soundbites
Home News Industry News PMAC 2013: Inadequate KYC poses greatest compliance concern

PMAC 2013: Inadequate KYC poses greatest compliance concern

Rebecca Cowdery, partner, Borden, Ladner Gervais, discusses the number one compliance concern according to both regulators and industry – going beyond the KYC form to truly know your client. Cowdery gives pragamtic tips on effective ways to know your client. She spoke at the Portfolio Management Association of Canada (PMAC) 2013 conference and annual general meeting in Toronto.

  • By: Rebecca Cowdery
  • November 27, 2013 December 15, 2017
  • 12:10
  • Share
  • Facebook
  • LinkedIn
  • Twitter
  • Mail to a fried
  • Print
Rebecca Cowdery

  • Related news

  • Avoid being sued over KYP shortfalls, expert tells IAFP symposium

  • Fintech roundup: Firms partner up to bolster wealth management services

  • How to prevent client complaints

  • Keywords
  • Know your client
Share this article and your comments with peers on social media
  • Facebook
  • LinkedIn
  • Twitter

Every day, get the financial news that matters in your inbox.

Tools

Webinars

    The Case for Private Markets: The Strategic Role of Alternatives in Today’s Portfolios

    The Case for Private Markets: The Strategic Role of Alternatives in Today’s Portfolios Two men in front of a mountain and forest landscape.

    Federal Budget 2025: Webinar with Jamie Golombek

    Federal Budget 2025: Webinar with Jamie Golombek Parliament building and Canadian flag.
CE Corner For Your Clients Events

Latest news In Industry News

U.S.-based notetaking AI to use Canadian data centre for advisor data

Woodgate Financial Inc., Assante Financial Management Ltd., are among Focal's customers

  • By: Jonathan Got
  • December 23, 2025 December 18, 2025
  • 08:00

FP Canada releases CFP, QAFP exam results for October

QAFP exam has one more sitting before title protection transition ends

  • By: IE Staff
  • December 18, 2025 December 18, 2025
  • 13:08

Ottawa taps Canadian Climate Institute to lead development of ‘long-awaited’ sustainable finance taxonomy

The institute will work with Business Future Pathways on the guidelines

  • By: Noushin Ziafati
  • December 18, 2025 December 18, 2025
  • 12:36

Foreign investors bought $46.6B worth of Canadian securities in October

This is the highest monthly foreign investment in Canadian securities since March 2022

  • By: Jonathan Got
  • December 17, 2025 December 17, 2025
  • 14:00

Today's top stories

Opinion: ETF investing in 2026

After a record-breaking year for new product launches, old-fashioned strategies are still a solid choice for portfolios

  • By: Amin Barakat
  • December 22, 2025 December 22, 2025
  • 12:48

Gold prices lift S&P/TSX composite, U.S. stock markets also rise

The S&P/TSX composite index climbed 244.33 points to 32,000.10

  • By: Daniel Johnson, The Canadian Press
  • December 22, 2025 December 22, 2025
  • 17:03

Global credit looks stable, but for how long: Fitch

Rating agency sees an array of risks lurking under a placid surface

  • By: James Langton
  • December 22, 2025 December 19, 2025
  • 08:00

Dramatic increase in Fintrac fines coming, but their effectiveness is less clear

The increase is part of an effort to beef up anti-money laundering measures

  • By: Ian Bickis, The Canadian Press
  • December 22, 2025 December 22, 2025
  • 08:12
  • News
  • Industry News
  • From the Regulators
  • People
  • Products
  • Building Your Business
  • Client Communications
  • Practice Management
  • Financial Planning
  • In Depth
  • Special Reports
  • Report Cards
  • Magazines
  • Partner Reports
  • Insight
  • Editorials
  • Columns
  • Letters to the Editor
  • Inside Track
  • Tools
  • Brand Knowledge
  • Newspaper
  • Newspaper newspaper image Investment Executive November 2025 final cover
  • Free Subscription
  • Investment Executive - Our sister brands Investment Executive - Our sister brands
  • Finance Investissement Finance Investissement
  • Advisor.ca Advisor.ca
  • Conseiller.ca Conseiller.ca
  • About Us
  • Contact Us
  • Reprints and Permissions
  • Advertise
  • Statement of Ethics
  • Terms of Use
  • Privacy Policy
  • Accessibility
  • AI Policy
Newcom Media

© Newcom Media Inc.

We use cookies to make your website experience better. By accepting this notice and continuing to browse our website you confirm you accept our Terms of Use & Privacy Policy.

read more >>