Mark Noble and Bryan Borzykowski

Better suitability needed in client relationship model

Having a comprehensive, “know your client” process is a best practice for the majority of advisors, but the Investment Dealers Association–proposed client relationship model, which is currently seeking comment from its members and the industry, is going to make this a rule replete with enforcement. Paul Bourque, senior vice-president of member regulation for the IDA, […]

By Mark Noble and Bryan Borzykowski |April 22, 2008

6 min read