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Keyword: Know your client

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paper with words anti-money laundering

FINTRAC says platforms must register, comply with anti-money laundering regulations

client meeting

ESMA proposes making sustainability part of suitability

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Clients lost over $1 million on risky options strategy in market crash

paper airplanes

Early focus will be on helping advisors understand products and collect client information

Lightbulb drawn around tree image, indicating sustainable ideas

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

gavel

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"

rubber stamp

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