Keyword: Know your client

138 results found

Although this question may appear to be a mundane detail in the KYC, it has great importance. This is why

Ensure you clean up your files properly to avoid exposure to litigation, or regulatory investigations and enforcement

To know your client is a good thing; to know your clients intimately, however, is not

A signed KYC form is not enough. Advisors need to spend the time and get to know their clients thoroughly

The B.C. court rules investor was “contributorily negligent”

Too many advisors pay too little attention to how a client's risk label is determined

Discussion paper examines questionnaires to help assess clients’ risk tolerance and capacity

Sanctions levied against Brian and Christine Malley total $600,000

How to deal with clients who have not saved enough for retirement

90% of legal cases against financial advisors involve breaches of the Know Your Client and Know Your Product rules