Keyword: Know your client

138 results found

Retail investors want greater accountability from both dealers and regulators

Further rules proposals on the way, regulator says

New anti-money laundering rules mean obtaining more information

Firm withheld information needed for an investigation

  • By: Regan Ray
  • January 9, 2008 January 9, 2008
  • 13:27

Union Securities reps breached “know your client” obligations

  • By: IE Staff
  • May 18, 2006 May 18, 2006
  • 07:30

Advisors applaud the renewed focus on selling insurance rather than promoting wealth management

Five funds added to seg fund lineup

  • By: IE Staff
  • July 31, 2003 July 31, 2003
  • 09:23

IDA requirement would identify beneficial owners of corporate accounts