Advisors have a duty to act fairly, honestly and in good faith with clients. To meet these obligations, they must know their clients, understand the products they sell them and ensure investments are suitable.
When becoming registered, how much experience is enough?
Regs dictate what you can and can’t do
Perform an internal review so you’re better prepared for an audit. Here’s what regulators look for.
Details on KYC, KYP and suitability