Keyword: know your product

41 results found
rules and regulations

Recommendations aim to address poor practices in investment product disclosure

paper airplanes

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

Modern urban skyscrapers in downtown Chicago from below to the blue summer sky. Sun reflecting in the glass facades of the urban futuristic buildings. Chicago, Illinois, USA

OSC head expressed concern about banks' response to the client-focused reforms

a man interrupts a cascade of falling dominoes

Tech helps preserve product choice

employee satisfaction

The satisfaction of insurance advisors hinges largely on respect for their independence

Skyline of the financial district

CWB and Meridian will continue to offer outside products

  • By: Katie Keir
  • September 16, 2021 September 20, 2021
  • 16:35

The advocacy group calls for action to preserve competition and protect investors

Revised KYP and product due diligence guidance accompany the rule changes

client meeting

Reducing product offerings for the sake of KYP is unlikely to serve the investor’s best interest

roped off area

New regulations will amplify investment dealers’ roles as product gatekeepers