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Keyword: Know your client

69 results found
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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

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

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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

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Why KYC updates have never been more important to your success

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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
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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

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The OSC says there is a lot of room for improvement in its 2019 summary report