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Keyword: Know your client

151 results found
Stormy waters

Don’t go down with your client’s ship

Use these three steps to deal with clients who insist on unsuitable investments

Client listening to a lawyer or advisor explaining issues

Avoid being sued over KYP shortfalls, expert tells IAFP symposium

Advisors should conduct independent analysis, educate clients, write detailed notes

  • By: Jonathan Got
  • September 30, 2024 September 30, 2024
  • 15:18
A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Man convicted in the U.K.’s first crypto ATM case

Unregistered network enabled possible tax evasion, money laundering, regulator says

The Australian Coat of Arms in metal hangs on the glass wall of a building that reflects another high-rise across the street.

ASIC calls for distribution improvements

Poorly designed KYC questionnaires at the heart of recent enforcement actions

Regulation

OSC’s compliance work escalates

Risky firms, crypto platforms add to compliance division's workload

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

BCSC, fund manager settle compliance issue case

Firm resolved allegations of KYC, suitability, conflict failures

To protect yourself and clients, rethink trusted contacts

Why clients need to name different people as PoA and TCP

CFTC sanctions crypto intermediary

Firm allegedly helped U.S. investors evade controls against offshore platforms

people working

A strategy for assessing insurance suitability

A sneak peek at an upcoming CE course shows three time frames are key to recommendations

Banned

Former fund rep sanctioned for exceeding registration

Fund rep could fill out basic information, but not KYC info, on investment dealer accounts