Know your client | Investment Executive https://www.investmentexecutive.com/tag/know-your-client/ Canada's news source for financial professionals Tue, 02 Dec 2025 17:25:16 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Know your client | Investment Executive https://www.investmentexecutive.com/tag/know-your-client/ 32 32 FINTRAC sanctions currency exchange https://www.investmentexecutive.com/news/fintrac-sanctions-currency-exchange/ Tue, 02 Dec 2025 17:25:16 +0000 https://www.investmentexecutive.com/?p=526764 Firm fined for series of violations uncovered in compliance exam

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]]> FINTRAC sanctions Saskatchewan credit union https://www.investmentexecutive.com/news/fintrac-sanctions-saskatchewan-credit-union/ Thu, 27 Nov 2025 19:44:24 +0000 https://www.investmentexecutive.com/?p=526459 Firm penalized for breaches uncovered in a compliance exam

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]]> Firms falling short on KYC, suitability: BCSC https://www.investmentexecutive.com/news/from-the-regulators/firms-falling-short-on-kyc-suitability-bcsc/ Wed, 01 Oct 2025 18:23:53 +0000 https://www.investmentexecutive.com/?p=521650 Regulator issues report card on Client Focused Reforms compliance

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]]> RCMP seizes crypto platform, assets https://www.investmentexecutive.com/news/from-the-regulators/rcmp-seizes-crypto-platform-assets/ Fri, 19 Sep 2025 18:49:46 +0000 https://www.investmentexecutive.com/?p=520736 Police allege site was used for money laundering

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]]> FINTRAC fines exempt market dealer https://www.investmentexecutive.com/news/from-the-regulators/fintrac-fines-exempt-market-dealer/ Thu, 18 Sep 2025 16:32:16 +0000 https://www.investmentexecutive.com/?p=520588 Agency uncovered several compliance violations in exam

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]]> FINTRAC sanctions B.C. Lottery Corp. https://www.investmentexecutive.com/news/from-the-regulators/fintrac-sanctions-b-c-lottery-corp/ Thu, 28 Aug 2025 17:47:58 +0000 https://www.investmentexecutive.com/?p=518716 BCLC says it's appealing the $1 million penalty to Federal Court

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]]> Agent sanctioned for KYC, client fundraiser https://www.investmentexecutive.com/news/from-the-regulators/agent-sanctioned-for-kyc-client-fundraiser/ Tue, 12 Aug 2025 07:47:00 +0000 https://www.investmentexecutive.com/?p=517308 Rep started a GoFundMe to help out a client breached privacy obligation

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]]> FCA sanctions fintech over anti-crime controls https://www.investmentexecutive.com/news/from-the-regulators/fca-sanctions-fintech-over-anti-crime-controls/ Tue, 08 Jul 2025 17:55:12 +0000 https://www.investmentexecutive.com/?p=514755 Online bank had inadequate KYC, risk assessment during rapid growth

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]]> Canaccord fined by FINTRAC https://www.investmentexecutive.com/news/from-the-regulators/canaccord-fined-by-fintrac/ Thu, 03 Jul 2025 15:56:16 +0000 https://www.investmentexecutive.com/?p=514276 Compliance review uncovered weaknesses in firm's anti-money laundering processes

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]]> Former TD employee pleads guilty https://www.investmentexecutive.com/news/from-the-regulators/former-td-employee-pleads-guilty/ Thu, 26 Jun 2025 18:15:12 +0000 https://www.investmentexecutive.com/?p=513805 Ex-banker in Florida admitted to taking bribes to improperly open accounts

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