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Keyword: Know your client

67 results found
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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

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

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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
mature businessman thinking at desk in office

Technology solutions can help advisors meet compliance obligations

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

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

Clients were advised to concentrate their holdings in precious metals sector funds

female advisor shaking hands with a young couple

Situations become complicated when couples aren’t on the same page about their goals