Tag: account opening documentation

Regulators Begin Focused Compliance Sweeps

Oct 31, 2023 | Client-Focused Reforms (CFRs), Corporate Finance, Investment Funds, Regulatory Compliance

It appears that the long promised regulatory KYC, KYP and suitability audits have begun. Regulators have started reaching out to conduct focused compliance reviews to ensure compliance with the Client Focused Reform requirements that were enacted in 2021. Considering...

Tag: account opening documentation

Regulators Begin Focused Compliance Sweeps

https://aumlaw.com/wp-content/uploads/2020/03/00268628.pdf

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