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Keyword: know your product

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Opinion: The cease-trade order on Emerge ETFs provides a cautionary tale for investors and advisors

ESG building blocks

New regulations and a changing market environment are leading to new types of funds

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A review identified gaps in addressing conflicts associated with proprietary products

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An InvestorCOM analysis of KYP outcomes provides positive evidence

Partners discussing new plans

Regulator's reviews uncover shortcomings in brokers' Reg BI compliance

Two people harvesting money from a tree

Maintaining shelf flexibility and offering adequate product information are key components

  • By: IE Staff
  • October 11, 2022 October 11, 2022
  • 00:09
Hand rolling a cube with a brownie and a happy face, customer satisfaction concept

We asked three experts

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Significant product changes offer opportunities to engage clients, get to know them better and address suitability

Support a maturing demographic by adapting to changing needs

An RIA panel discussed the challenges and opportunities of integrating ESG considerations into know-your-client procedures