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Keyword: Know your client

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

Court.

SRO levies $60,000 fine and orders $10,000 in costs

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

Support a maturing demographic by adapting to changing needs

An RIA panel discussed the challenges and opportunities of integrating ESG considerations into know-your-client procedures

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Fulfil your KYC obligations without infringing on client privacy

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FINTRAC says platforms must register, comply with anti-money laundering regulations

client meeting

ESMA proposes making sustainability part of suitability

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Clients lost over $1 million on risky options strategy in market crash

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Early focus will be on helping advisors understand products and collect client information