Tag: kyp

KYP and the power of the peer

KYP and the Power of the Peer

Why segmenting product shelves into peer groups can help meet regulatory challenges The requirement for advisors to have enhanced KYP processes is ramping up with the client-focused reforms. Beginning in […]

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Regulatory Enforcement

CFR: Implementing KYP – Webinar Q&A

Recently, InvestorCOM hosted a webinar with “Client Focused Reforms: Implementing KYP” featuring Rebecca Cowdery and Michael Taylor from BLG, Richard Wylie from Assante Wealth Management, and Parham Nasseri and Dave […]

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Client Focused Reforms – Implementing KYP

ON-DEMAND WEBINAR With the CFR implementation deadline fast approaching, many firms are looking for practical strategies for meeting the remaining elements of the CFRs. Watch this 60-minute on-demand webinar to […]

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