Becoming a financial advisor involves more than crunching numbers. It means earning a client's trust to manage their hard-earned savings and guide them on the path to their goals. Your first client ...
If firms’ processes work for ETFs but not for proprietary, illiquid or complex products, then the reforms have failed ...
This article was originally published on ETFTrends.com. Client First Tax & Wealth Advisors announced the launch of its first exchange traded fund, the Adaptiv Select ETF (NYSE Arca: ADPV). The ...
Given that more than 36 months have passed since the CFR KYC update rule took effect, CSA and CIRO say all client files ...
Every company likes to believe it puts clients first. But there’s often a wide gap between intention and reality. The reality is, to be client-first is to live and breathe the goals that matter most ...
The industry is becoming increasingly complex—due in part to the accelerated growth of products and services, designations and technology—and that’s leading to more investors voicing concerns. Their ...
In addition to including client-first requirements in the client-focused reforms (CFRs), Canadian securities regulators wanted to strengthen protection of older and vulnerable clients. In July 2021, ...
MINNEAPOLIS--(BUSINESS WIRE)--Today Ameriprise Financial, Inc. (NYSE: AMP) announced that two practices managing a combined $1.1 billion in assets joined the firm for its client-first culture, growth ...
New CFR regulations put clients first. By holding all advisors to a higher standard, the quality of service goes up for all investors. In today’s competitive environment, it’s not enough to give great ...
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