In a recent InvestorCOM survey of Canadian wealth firms, 52% felt that advisor KYP and assessing reasonably available alternatives were the most challenging aspects of meeting the Client Focused Reforms.
The deadline for meeting the KYP requirements of the CFRs is only 5 months away.
Find out if your firm is on track. The Client Focused Reforms KYP Implementation Guide includes priority frameworks, tips, and actionable steps that your compliance teams can use to identify any remaining gaps you may have remaining before the December deadline.
This document is designed for compliance leaders who are tasked with meeting the CFR's new KYP obligations for their firm and team of advisors.