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Keyword: know your product

17 results found
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

Magnifying glass icon in flat style. Search loupe on color background. Business analytic charts illustration. Vector design object for you project

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

rules and regulations

Recommendations aim to address poor practices in investment product disclosure

paper airplanes

Early focus will be on helping advisors understand products and collect client information

Modern urban skyscrapers in downtown Chicago from below to the blue summer sky. Sun reflecting in the glass facades of the urban futuristic buildings. Chicago, Illinois, USA

OSC head expressed concern about banks' response to the client-focused reforms

a man interrupts a cascade of falling dominoes

Tech helps preserve product choice