Given that more than 36 months have passed since the CFR KYC update rule took effect, CSA and CIRO say all client files ...

If you haven’t had compliance training on your firm’s processes to address new know-your-product (KYP) requirements, you likely soon will. The client-focused reforms (CFRs) related to KYP and ...

This article appears in the October 2021 issue of Advisor’s Edge magazine. Subscribe to the print edition, read the digital edition or read the articles online. The article is the third in a series ...

Regulators’ survey of mutual fund reps at Ontario bank branches has renewed concerns about proprietary shelves and exposed potential know-your-product weaknesses under the client-focused reforms (CFRs ...