IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say
The Responsible Investment Association suggested revisions to proposed regulatory amendments
BitMEX settles with CFTC, U.S. Treasury for registration and anti-money-laundering violations
Court finds an investor's portfolio was too heavily concentrated in preferred shares, but that its low-risk strategy was appropriate
While your compliance department may seem as if it’s working against you, compliance is essential to protecting your clients and your business
Sometimes it’s suitable for your clients’ investments to be less risky than their maximum risk tolerance
Now is the time to update your clients’ KYC and think about their risk capacity
Advisors may have to consider 1 million data points per day when the CFRs come into force
Dissatisfied investors may confront advisors due to poor performance
Why KYC updates have never been more important to your success