“Big Fat Questions to Get Clients Talking” By Ellen Bessner BABIN BESSNER SPRY LLP

While we understand that regulators require advisors to collect sufficient detail about each client to enable them to exercise their professional judgment to meet their suitability obligations, how is this achieved without infringing on client’s privacy? Ellen provides guidance as to how an advisor can balance their KYC collection obligations with clients’ desire for, and right to privacy.

Read Now

Translate »