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Keyword: Know your client

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A review finds little progress on 2019 recommendations from the Expert Panel on Sustainable Finance

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The client lost $1.3 million to risky trading that generated $232,000 in commissions

Court.

Court finds no breach when advisor didn't "sell in May and go away"

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Revised KYP and product due diligence guidance accompany the rule changes

rules and regulations

IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say

responsible investments fossil fuels oil and gas energy sector

The Responsible Investment Association suggested revisions to proposed regulatory amendments

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BitMEX settles with CFTC, U.S. Treasury for registration and anti-money-laundering violations

  • August 10, 2021 August 10, 2021
  • 15:57
gavel

Court finds an investor's portfolio was too heavily concentrated in preferred shares, but that its low-risk strategy was appropriate

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While your compliance department may seem as if it’s working against you, compliance is essential to protecting your clients and your business

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Sometimes it’s suitable for your clients’ investments to be less risky than their maximum risk tolerance