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Keyword: Client-focused reforms

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advisor client meeting

Advisors must show that clients understood an investment and its risks

Dandelion coming out from brick pavement

Despite creating additional work for advisors, the new rules aren't affecting business processes significantly

business man using magnifying glass to inspect documents

The CSA is reviewing distribution arrangements for in-house funds

Magnifying glass icon in flat style. Search loupe on color background. Business analytic charts illustration. Vector design object for you project

Significant product changes offer opportunities to engage clients, get to know them better and address suitability

A man removing interlocking pieces from a large stack

While some advisors have criticized banks for eliminating active selling of third-party products, many are happy with in-house selection

  • By: Katie Keir
  • August 29, 2022 August 29, 2022
  • 00:06
man opening curtain to reveal something

Advisors ignore this important know-your-client item to their detriment

guidelines and regulations binders

Three-year plan focuses on CFR enforcement, dispute resolution and crypto

investing in technology

Leverage digital momentum to capitalize on trends

young woman with question mark on a gray background

Fulfil your KYC obligations without infringing on client privacy

key to success

The key to success is providing ongoing support and system adjustments