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Keyword: Know your client

142 results found

Big fat questions to get clients talking

Fulfil your KYC obligations without infringing on client privacy

Crowdfunding, payment platforms face new KYC rules

FINTRAC says platforms must register, comply with anti-money laundering regulations

client meeting

European regulators integrate ESG into KYC

ESMA proposes making sustainability part of suitability

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

IIROC panel sanctions rep for KYC violations

Clients lost over $1 million on risky options strategy in market crash

paper airplanes

OSC launches first wave of TestLab experiments focused on KYC, KYP

Early focus will be on helping advisors understand products and collect client information

Lightbulb drawn around tree image, indicating sustainable ideas

Once again, Canada lags on climate action

A review finds little progress on 2019 recommendations from the Expert Panel on Sustainable Finance

Ex-rep fined, suspended for churning vulnerable client

The client lost $1.3 million to risky trading that generated $232,000 in commissions

Discretion proves better part of valour for advisor

Court finds no breach when advisor didn't "sell in May and go away"

Regulators approve IIROC’s rules related to client-focused reforms

Revised KYP and product due diligence guidance accompany the rule changes

rules and regulations

Groups call for KYC to go beyond minimum standards

IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say