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The SRO has elected to maintain more prescriptive guidance around KYC reviews

  • By: Katie Keir
  • September 3, 2021 September 3, 2021
  • 11:49
Concept of important choices of a businessman, Business Challenge

Consolidated rules and enhanced governance will be part of the changes

SRO review finds a variety of reasons for botched return calculations

grand opening illustrated with a scissors, a red ribbon and confetti on a white background

Fund dealers' first CE cycle to kick off on Dec. 1

Wooden gavel used by a judge or auctioneer

A client eligible for no-loads funds was instead sold a DSC fund to boost the rep's compensation

Wooden gavel used by a judge or auctioneer

The former mutual fund representative opened fake accounts to score new client bonuses from TD Bank

Wooden gavel used by a judge or auctioneer

Ex-rep admitted to misappropriating money and undisclosed borrowing from a client

court gavel regulatory

The client was repaid, but the funds used to repay the client came from a mysterious source

Advisor meeting with clients

The proposals are out for a 60-day comment period

The SRO has warned firms against using delay tactics when a client decides to move on