Keyword: know your product

50 results found
FCA tackles U.K.’s large advice gap article image Advisor meeting clients at their home
Industry falling short on CFR compliance: CSA, CIRO article image Client listening to a lawyer or advisor explaining issues
Concerns follow regulators’ survey of mutual fund reps article image Review process
Bank reps, dealers in OSC’s compliance crosshairs article image Downtown Toronto buildings
IAP highlights CFRs, OBSI, geopolitical risks article image consultation discussion
OSC approves crypto-backed lending article image bitcoin investment concept on screen
ESMA aims to set crypto proficiency standards article image Crypto coins
CFR compliance sweep report on tap article image Judge's gavel with magnifying glass on black.
Closing the gap between mutual, seg fund regulation article image consultation discussion
CIRO unveils next wave of rule consolidation article image new rules