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Keyword: know your product

43 results found
Judge's gavel with magnifying glass on black.

CIRO, CSA to publish joint report on CFR sweep in first half

consultation discussion

CCIR, CISRO propose new guidance on the design, distribution of seg funds

new rules

Approval regime, proficiency are among areas covered in latest consultation

Businesswoman calculates finances in an office

Regulators and investor advocates continue to eye banks’ fund market dominance, but branch advisors don’t feel hampered

  • By: Katie Keir
  • October 15, 2024 October 15, 2024
  • 08:47
Computer with financial growth

Regulator details vision for retail funds that hold long-term assets

Computer with financial growth

Advisor time constraints, attrition are controllable factors

Stormy waters

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

Client listening to a lawyer or advisor explaining issues

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

  • By: Jonathan Got
  • September 30, 2024 September 30, 2024
  • 15:18
The Australian Coat of Arms in metal hangs on the glass wall of a building that reflects another high-rise across the street.

Poorly designed KYC questionnaires at the heart of recent enforcement actions

Regulation

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