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Keyword: Know your client

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Technology solutions can help advisors meet compliance obligations

Compliance Rules Law Regulation Policy Business Technology concept.

Firms spent over US$1 billion on regtech last year

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The OSC says there is a lot of room for improvement in its 2019 summary report

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

Clients were advised to concentrate their holdings in precious metals sector funds

female advisor shaking hands with a young couple

Situations become complicated when couples aren’t on the same page about their goals

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Referral cases more than doubled from 2018 to 2019

two couples having a picnic on the beach

As millennials inherit their parents’ wealth, advisors will need to evolve their business practices

senior couple meets with advisor at home

Getting a contact name early can help advisors manage issues before they arise

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

The SRO issued a report Wednesday analyzing data from its client research project

happy young couple discussing with a financial agent

Updating your clients’ KYC form is both a chance to show clients that you have a sincere interest in helping them meet their goals and is an opportunity to grow your business