Home Know your client

Keyword: Know your client

70 results found

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

business people standing in line under a magnifying glass

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

Businesswoman umbrella orange arrow insurance

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

businesswoman thinking

Now is the time to update your clients’ KYC and think about their risk capacity

a woman looking at her computer

Advisors may have to consider 1 million data points per day when the CFRs come into force

  • By: David Reeve
  • September 4, 2020 September 8, 2020
  • 15:56
Compliance Rules Law Regulation Policy Business Technology concept.

Dissatisfied investors may confront advisors due to poor performance

Happy businesswoman handshaking with client closing deal in an office interior with a window in the background

Why KYC updates have never been more important to your success

business team corporate organization working concept

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
mature businessman thinking at desk in office

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