Tag: KYP documentation

Keepin’ up with KYP

Mar 28, 2024 | Client-Focused Reforms (CFRs), Regulatory Compliance

Registrants are reminded that your basement is not the only thing that may need some spring cleaning – it may be time to dust off the product shelf and review your Know-Your-Product (KYP) documentation to ensure it is up to date. With securities regulators likely...

Tag: KYP documentation

Keepin’ up with KYP

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

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