KYC

AI means potential ‘big shift’ in regulatory responsibilities: Kriegler AI means potential ‘big shift’ in regulatory responsibilities: Kriegler

Regulation

AI means potential ‘big shift’ in regulatory responsibilities: Kriegler

Greater accountability could fall to firms instead of advisors

By Michelle Schriver |April 22, 2026

2 min read

There’s more to KYC than documentation There’s more to KYC than documentation

Planning and Advice

There’s more to KYC than documentation

5 best practices that stop problems before they start

By Robin Riviere |January 5, 2026

3 min read

Client-focused reforms — four years in, still waiting for results Client-focused reforms — four years in, still waiting for results

Regulation

Client-focused reforms — four years in, still waiting for results

If firms’ processes work for ETFs but not for proprietary, illiquid or complex products, then the reforms have failed

By Harvey Naglie |December 17, 2025

5 min read

Industry falling short on CFR compliance: CSA, CIRO Industry falling short on CFR compliance: CSA, CIRO

Regulation

Industry falling short on CFR compliance: CSA, CIRO

Review documents failings in meeting KYC, KYP, suitability requirements

By James Langton |December 10, 2025

3 min read