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
Changes in fashion are a reflection of how much people change — and why you should meet with clients annually to see what’s going on in their lives
The regulator’s goal is to enhance overall compliance at firms that don’t belong to a self-regulatory organization