Sometimes it’s suitable for your clients’ investments to be less risky than their maximum risk tolerance
Now is the time to update your clients’ KYC and think about their risk capacity
Advisors may have to consider 1 million data points per day when the CFRs come into force
Dissatisfied investors may confront advisors due to poor performance
Why KYC updates have never been more important to your success
Engaging with regulators is an important part of ensuring new rules are implemented effectively
Technology solutions can help advisors meet compliance obligations
Firms spent over US$1 billion on regtech last year
The OSC says there is a lot of room for improvement in its 2019 summary report
Clients were advised to concentrate their holdings in precious metals sector funds