Keyword: Know your client

138 results found

No clients suffered any financial loss as a result of Jannetta’s misconduct

  • By: IE Staff
  • June 9, 2010 June 9, 2010
  • 15:31

Nivet updated forms and signatures without contacting clients

Reps acting contrary to MFDA rules

Comments due by Dec. 16

Deficiencies at De Thomas Financial earn $10,000 fine

Dealers and advisors obligated to “know your client”, “know your product”

  • By: IE Staff
  • September 2, 2009 September 2, 2009
  • 09:45

Jenset permitted a non-registrant to perform “know your client” obligations

  • By: IE Staff
  • May 13, 2009 May 13, 2009
  • 14:25

Although inclusion in KYC forms would lead to more sales for SRI products, it would present various legitimate considerations

Keeping in touch to update KYC information, especially during tough times, is a moral and fiduciary responsibility

James Moon wants to show other advisors how to avoid making the mistakes that have cost him dearly

  • By: Laura Bobak
  • January 23, 2009 January 23, 2009
  • 15:44