Know your client – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 11 Apr 2024 19:46:24 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 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 32 32 CIRO sketches three-year strategic vision https://www.investmentexecutive.com/news/from-the-regulators/ciro-sketches-three-year-strategic-vision/ Thu, 11 Apr 2024 19:17:38 +0000 https://www.investmentexecutive.com/?p=483589 Expanding access to advice, standardizing KYC data collection on SRO's agenda

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]]> Do your notes pass the sniff test? https://www.investmentexecutive.com/inside-track_/ellen-bessner/do-your-notes-pass-the-sniff-test/ Mon, 08 Apr 2024 19:35:33 +0000 https://www.investmentexecutive.com/?p=483363 Here are three steps to prove suitability

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]]> BMO Nesbitt sanctioned for supervisory shortcomings https://www.investmentexecutive.com/news/from-the-regulators/bmo-nesbitt-sanctioned-for-supervisory-shortcomings/ Fri, 05 Apr 2024 20:57:46 +0000 https://www.investmentexecutive.com/?p=483279 Firm failed to adequately oversee rep's risky trading strategy, CIRO says

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]]> CFTC, SDNY charge crypto platform https://www.investmentexecutive.com/news/from-the-regulators/cftc-sdny-charge-crypto-platform/ Tue, 26 Mar 2024 18:28:12 +0000 https://www.investmentexecutive.com/?p=482757 KuCoin platform accused of registration, money laundering violations

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]]> Former fund rep fined, banned over forgery https://www.investmentexecutive.com/news/from-the-regulators/former-fund-rep-fined-banned-over-forgery/ Thu, 04 Jan 2024 22:09:34 +0000 https://www.investmentexecutive.com/?p=478061 Rep recruited tenant as a client without firm's permission

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]]> Potential class action against fund reps revived https://www.investmentexecutive.com/news/from-the-regulators/potential-class-action-against-fund-reps-revived/ Thu, 21 Dec 2023 20:14:17 +0000 https://www.investmentexecutive.com/?p=477768 Appeal Court finds alleged fiduciary duty breach can be basis for class action

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]]> Fintech roundup: Firms partner up to bolster wealth management services https://www.investmentexecutive.com/news/industry-news/fintech-roundup-firms-partner-up-to-bolster-wealth-management-services/ Fri, 15 Dec 2023 21:12:10 +0000 https://www.investmentexecutive.com/?p=477454 FusionIQ has a new compliance partner, while Croesus works with Mako on KYC

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]]> OSC aces audit follow-up, government needs work https://www.investmentexecutive.com/news/from-the-regulators/osc-aces-audit-follow-up-government-needs-work/ Wed, 06 Dec 2023 19:42:17 +0000 https://www.investmentexecutive.com/?p=476695 Decision on tougher investor protection measures coming by end of 2025

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]]> FSRA proposes guidance on life agent fitness https://www.investmentexecutive.com/news/from-the-regulators/fsra-proposes-guidance-on-life-agent-fitness/ Wed, 22 Nov 2023 18:06:10 +0000 https://www.investmentexecutive.com/?p=475869 Draft guidance forms part of larger effort to improve industry conduct

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]]> A perfect storm lies ahead for advisors and dealers https://www.investmentexecutive.com/inside-track_/ellen-bessner/a-perfect-storm-lies-ahead-for-advisors-and-dealers/ Mon, 20 Nov 2023 20:00:22 +0000 https://www.investmentexecutive.com/?p=475621 Mitigate your risk amid potential enforcement delays, CFR audits

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