Significant product changes offer opportunities to engage clients, get to know them better and address suitability
SRO levies $60,000 fine and orders $10,000 in costs
Advisors ignore this important know-your-client item to their detriment
Support a maturing demographic by adapting to changing needs
An RIA panel discussed the challenges and opportunities of integrating ESG considerations into know-your-client procedures
Fulfil your KYC obligations without infringing on client privacy
FINTRAC says platforms must register, comply with anti-money laundering regulations
ESMA proposes making sustainability part of suitability
Clients lost over $1 million on risky options strategy in market crash
Early focus will be on helping advisors understand products and collect client information