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KYC, KYP and suitability

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KYC, KYP and suitability

Marsha Gerhart, counsel, Borden Ladner Gervais, gives tips on KYC, KYP and suitability for the exempt market. Gerhart 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 and video producer for Investment Executive, at the 2013 EMDA Exempt Market Dealers conference in Toronto.

  • By: Marsha Gerhart
  • May 9, 2013 December 15, 2017
  • 08:35
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Marsha Gerhart

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  • Keywords
  • Exempt market,
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  • Suitability obligations,
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  • Know your client
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