know your product | Investment Executive https://www.investmentexecutive.com/tag/know-your-product/ Canada's news source for financial professionals Thu, 11 Dec 2025 21:51:57 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png know your product | Investment Executive https://www.investmentexecutive.com/tag/know-your-product/ 32 32 FCA tackles U.K.’s large advice gap https://www.investmentexecutive.com/news/from-the-regulators/fca-tackles-u-k-s-large-advice-gap/ Thu, 11 Dec 2025 21:51:57 +0000 https://www.investmentexecutive.com/?p=527609 Regulator details plans for "targeted support" framework to launch in 2026

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]]> Industry falling short on CFR compliance: CSA, CIRO https://www.investmentexecutive.com/news/from-the-regulators/industry-falling-short-on-cfr-compliance-csa-ciro/ Wed, 10 Dec 2025 17:50:45 +0000 https://www.investmentexecutive.com/?p=527418 Review documents failings in meeting KYC, KYP, suitability requirements

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]]> Concerns follow regulators’ survey of mutual fund reps https://www.investmentexecutive.com/news/concerns-follow-regulators-survey-of-mutual-fund-reps/ Wed, 29 Oct 2025 19:35:36 +0000 https://www.investmentexecutive.com/?p=523807 Findings put bank branches’ proprietary shelves back in the spotlight, highlight lack of MER knowledge

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]]> Bank reps, dealers in OSC’s compliance crosshairs https://www.investmentexecutive.com/news/from-the-regulators/bank-reps-dealers-in-oscs-compliance-crosshairs/ Tue, 10 Jun 2025 17:29:20 +0000 https://www.investmentexecutive.com/?p=512252 Regulator outlines examination priorities for fiscal 2026

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]]> IAP highlights CFRs, OBSI, geopolitical risks https://www.investmentexecutive.com/news/from-the-regulators/iap-highlights-cfrs-obsi-geopolitical-risks/ Wed, 28 May 2025 13:26:37 +0000 https://www.investmentexecutive.com/?p=510734 Binding authority for investor dispute resolution body OBSI should be priority, investor advocacy group says

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]]> OSC approves crypto-backed lending https://www.investmentexecutive.com/news/from-the-regulators/osc-approves-crypto-backed-lending/ Wed, 02 Apr 2025 17:42:00 +0000 https://www.investmentexecutive.com/?p=506107 Firm allowed to offer loans collateralized by bitcoin, ether

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]]> ESMA aims to set crypto proficiency standards https://www.investmentexecutive.com/news/from-the-regulators/esma-aims-to-set-crypto-proficiency-standards/ Tue, 18 Feb 2025 20:08:18 +0000 https://www.investmentexecutive.com/?p=502685 Regulator proposes knowledge standards under new crypto regime

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]]> CFR compliance sweep report on tap https://www.investmentexecutive.com/news/from-the-regulators/cfr-compliance-sweep-report-on-tap/ Fri, 31 Jan 2025 21:06:13 +0000 https://www.investmentexecutive.com/?p=501492 CIRO, CSA to publish joint report on CFR sweep in first half

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]]> Closing the gap between mutual, seg fund regulation https://www.investmentexecutive.com/news/from-the-regulators/closing-the-gap-between-mutual-seg-fund-regulation/ Wed, 08 Jan 2025 21:02:41 +0000 https://www.investmentexecutive.com/?p=499805 CCIR, CISRO propose new guidance on the design, distribution of seg funds

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]]> CIRO unveils next wave of rule consolidation https://www.investmentexecutive.com/news/from-the-regulators/ciro-unveils-next-wave-of-rule-consolidation/ Thu, 17 Oct 2024 20:40:49 +0000 https://www.investmentexecutive.com/?p=494971 Approval regime, proficiency are among areas covered in latest consultation

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