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Keyword: Know your client

64 results found
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Why KYC updates have never been more important to your success

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Engaging with regulators is an important part of ensuring new rules are implemented effectively

  • By: Ian Russell
  • December 18, 2019 December 18, 2019
  • 16:13
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Technology solutions can help advisors meet compliance obligations

  • By: David Reeve
  • November 8, 2019 January 22, 2020
  • 16:20
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

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

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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

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

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