Tag: material change

Materiality Index Monitor for Significant Change

Materiality Index: Monitor for Significant Change

The Client Focused Reforms and the introduction of the new KYP requirements place an explicit obligation on firms to reasonably assess, approve and monitor the securities (or products) made available to clients for significant change. Given the principles-based nature of the regulatory expectations, the ‘reasonable’ actions taken by each firm will depend on a number […]

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