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Keyword: Know your client

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Couple getting financial retirement advice from consultant at home

Why clients need to name different people as PoA and TCP

Judge gavel, scales of justice and law books in court

Firm allegedly helped U.S. investors evade controls against offshore platforms

people working

A sneak peek at an upcoming CE course shows three time frames are key to recommendations


Fund rep could fill out basic information, but not KYC info, on investment dealer accounts

Silhouette of man at sunset

Expanding access to advice, standardizing KYC data collection on SRO's agenda

Dispute at desk

Here are three steps to prove suitability


Firm failed to adequately oversee rep's risky trading strategy, CIRO says


KuCoin platform accused of registration, money laundering violations


Rep recruited tenant as a client without firm's permission


Appeal Court finds alleged fiduciary duty breach can be basis for class action