Tag: client-directed trade

FAQ Corner: What Are a Registrant’s Know-Your-Product and Suitability Obligations in Respect of a Client-Directed Trade?

Sep 30, 2021 | Client-Focused Reforms (CFRs), FAQs

Answer: While a firm is not required to approve securities that are held in an account as a result of a client-directed trade if they do not otherwise make those securities available to clients, the firm is required to: (a) inform the client of the basis for the...

Tag: client-directed trade

FAQ Corner: What Are a Registrant’s Know-Your-Product and Suitability Obligations in Respect of a Client-Directed Trade?

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

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