Know your client | Investment Executive https://www.investmentexecutive.com/tag/know-your-client/ Canada's news source for financial professionals Tue, 16 Dec 2025 14:32:12 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 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 Panel rejects CIRO case against reps, again https://www.investmentexecutive.com/news/from-the-regulators/panel-rejects-ciro-case-against-reps-again/ Tue, 16 Dec 2025 14:32:12 +0000 https://www.investmentexecutive.com/?p=527782 BCSC sent case back to SRO panel, which dismissed allegations

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]]> FCA fines lender £44m for anti-crime control failings https://www.investmentexecutive.com/news/from-the-regulators/fca-fines-lender-44m-for-anti-crime-control-failings/ Fri, 12 Dec 2025 19:19:22 +0000 https://www.investmentexecutive.com/?p=527673 Firm self-reported weaknesses in controls, beefed up compliance

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]]> FCA tackles U.K.’s large advice gap https://www.investmentexecutive.com/news/from-the-regulators/fca-tackles-u-k-s-large-advice-gap/ Thu, 11 Dec 2025 21:51:57 +0000 https://www.investmentexecutive.com/?p=527609 Regulator details plans for "targeted support" framework to launch in 2026

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]]> Crypto platform facilitated criminal activity: DoJ https://www.investmentexecutive.com/news/from-the-regulators/crypto-platform-facilitated-criminal-activity-doj/ Wed, 10 Dec 2025 20:05:35 +0000 https://www.investmentexecutive.com/?p=527442 Platform didn't collect KYC data, apply money laundering rules

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]]> Industry falling short on CFR compliance: CSA, CIRO https://www.investmentexecutive.com/news/from-the-regulators/industry-falling-short-on-cfr-compliance-csa-ciro/ Wed, 10 Dec 2025 17:50:45 +0000 https://www.investmentexecutive.com/?p=527418 Review documents failings in meeting KYC, KYP, suitability requirements

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]]> 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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