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Know Your Clients

Know Your Clients is all about...

Implications Risks
Investment firms need to know more about their clients and their needs.  This includes appropriate categorisation according to information given and evaluation of their desired financial and risk appetite profiles.  Client agreements and notifications need to be tracked across the various services, terms, best execution and order handling policies along with appropriate checks and warnings as required. New client rights mean greater risk of inadequate tracking and recording of the products and services information, orders and execution reports and warnings given to clients.

   

 


Sub section
  Client categorisation

  Suitability and appropriateness

  Order handling and warnings


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