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Know Your Customer (5)
Your search for Know Your Customer returned 5 results.
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5/12/2016 | Content area: Broker-Dealer | CPO/CTA
Brokers, mutual funds, futures commission merchants and commodities introducing brokers have until May 2018 to begin to ask new clients opening accoun...
10/16/2014 | Content area: Investment Adviser | Broker-Dealer
Your responsibilities to “know your customer” (KYC) is capsulized in several FINRA rules (IA Watch, July 8, 2013). The most recent one being rule 2090...
7/08/2013 | Content area: Investment Adviser | Broker-Dealer
The Supreme Court decision striking down a key part of the Defense of Marriage Act (DOMA) might not affect compliance professionals at broker-dealers ...
12/03/2012 | Content area: Investment Adviser | Broker-Dealer
FINRA examiners looking at how firms are complying with the new Suitability and Know Your Customer rules are particularly interested in the customer p...
10/29/2012 | Content area: Investment Adviser | Broker-Dealer
When FINRA comes knocking on your door for a routine exam, you should take the initiative to explain what you're doing to comply with the new suitabil...


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