Understanding Client-Focused Reforms: A Review of Advisors' Obligations

By CE Corner

Daniel Kratochvil, chief compliance officer with Agora Dealer Services Corp., explains the client-focused reforms.

In this video, Kratochvil expands on the conflicts-related reforms as well as those related to KYC, KYP, suitability, and relationship disclosures. Using an advisor-centric viewpoint, he provides practical examples to consider for your practice.

In the opinion of CE Corner, the content of this session aligns with FSRA’s requirements for Life and Accident & Sickness credits. However, it remains the responsibility of the individual license holder to check FSRA credits and confirm suitability.