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 looks at the enhanced know-your-product (KYP) requirements of the client-focused reforms (CFRs). It’s the third in my series that explores aspects of the regulations that will have the ...
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 ...
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