On-Demand Webinar: Implementing KYP - Dealer and Advisor Case Studies

With less than 3 months remaining on the Client Focused Reforms (CFR) journey, investment dealers and advisors will be taking final steps to meet their KYP requirements. Throughout this journey, InvestorCOM met with more than 50 dealers and helped dozens meet their KYP requirements.

Watch this On-Demand webinar to hear case studies on how various investment dealers and advisors are tackling their KYP requirements.

Discussion will focus on:

* Practical approaches for firms to meet their KYP obligations.
* Defining and monitoring a product shelf for significant change.
* How advisors can meet their KYP obligation and assess available alternatives using an unbiased and repeatable process.
* Best practices for advisors to document their KYP and reasonably available alternatives assessment.

Видео On-Demand Webinar: Implementing KYP - Dealer and Advisor Case Studies канала InvestorCOM Inc.