kyc - Blog - Brock Shores Financial #ImprovingFutures
2024-03-28T18:07:42Z
https://improvingfutures.ning.com/blog/feed/tag/kyc
KYP - Know Your Product
https://improvingfutures.ning.com/blog/kyp-know-your-product
2021-10-13T13:02:19.000Z
2021-10-13T13:02:19.000Z
Timothy Ross
https://improvingfutures.ning.com/members/TimothyRoss
<div><img src="https://storage.ning.com/topology/rest/1.0/file/get/9680451276?profile=RESIZE_400x&width=400"></div><div><p><a href="https://www.advisor.ca/investments/market-insights/firms-and-advisors-get-prepped-for-kyp">https://www.advisor.ca/investments/market-insights/firms-and-advisors-get-prepped-for-kyp</a></p>
<p> </p>
<p><a href="https://www.advisor.ca/investments/market-insights/firms-and-advisors-get-prepped-for-kyp" target="_blank">https://www.advisor.ca/investments/market-insights/firms-and-advisors-get-prepped-for-kyp</a></p>
<p> </p>
<p><strong>The industry is formalizing know-your-product processes</strong></p>
<p> </p>
<p><span style="font-size:12pt;"><strong>What to consider when assessing an investment</strong></span></p>
<p>1. Structure and features such as complexity, transparency, uniqueness, basis of return, likelihood of achieving investment objectives, expected returns, time horizon, liquidity and use of leverage</p>
<p>2. Compensation or other conflicts</p>
<p>3. Risk</p>
<p>4. Initial and ongoing costs and their impact on performance</p>
<p>Source: Amendments to National Instrument 31-103</p>
<p> </p>
<p><strong>When it comes to products,</strong></p>
<p>“You should be looking at all the benefits and features to make sure the investment you recommend is in the best interests of clients,” Rizi said.</p>
<p>“That’s what KYP is all about.”</p>
<p> </p>
<p><strong>In case your compliance cruising, full stop, see, read, digest disclosure </strong></p>
<p><a href="https://improvingfutures.ning.com/blog/peak-dealership-representative-disclosure">https://improvingfutures.ning.com/blog/peak-dealership-representative-disclosure</a></p>
<p><strong>READ THE FINE PRINT</strong></p>
<p><a href="https://improvingfutures.ning.com/blog/peak-dealership-representative-disclosure">https://improvingfutures.ning.com/blog/peak-dealership-representative-disclosure</a></p>
<p> </p>
<p> </p>
<ul>
<li class="tagit-choice ui-widget-content ui-state-default ui-corner-all tagit-choice-editable"><span class="tagit-label">KYC</span></li>
<li class="tagit-choice ui-widget-content ui-state-default ui-corner-all tagit-choice-editable"><span class="tagit-label">RISK</span></li>
<li class="tagit-choice ui-widget-content ui-state-default ui-corner-all tagit-choice-editable"><span class="tagit-label">Best Practices</span></li>
</ul>
<p> </p></div>
Common Questions KYC
https://improvingfutures.ning.com/blog/common-questions-kyc
2019-12-05T10:53:19.000Z
2019-12-05T10:53:19.000Z
Timothy Ross
https://improvingfutures.ning.com/members/TimothyRoss
<div><p><!----> <!-- NOTE: Please host this page on a web server or add all of the --> <!-- content inside the <html> tag to an existing page. --> <!----> <!----> <!-- Style Definitions: Adjust the appearance of form elements here. --> <!----></p>
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type="text" /><br /><span class="webformlabel">Bank Name</span> <input class="webforminput" name="U26I96" type="text" /><br /><span class="webformlabel">Bank Transit / Institution #</span> <input class="webforminput" name="U27I97" type="text" /><br /><span class="webformlabel">Account #</span> <input class="webforminput" name="U28I98" type="text" /><br /><span class="webformlabel">Bank Address</span> <input class="webforminput" name="U29I288" type="text" /><br /><span class="webformlabel">Trading Authorization</span><select class="webformselect" name="U30I228"><option></option><option>Declined</option><option>No</option><option>Yes</option></select><br /><span class="webformlabel">Single, Trust or Joint</span><select class="webformselectm" multiple="multiple" name="U31I227" size="3"><option>Joint</option><option>Single</option><option>Trust</option></select><br /><span class="webformlabel">Salary</span> <input class="webforminput" name="U32I85" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Bonus</span> <input class="webforminput" name="U33I86" type="text" /><br /><span class="webformlabel">Commission</span> <input class="webforminput" name="U34I87" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Investment Income</span> <input class="webforminput" name="U35I88" type="text" /><br /><span class="webformlabel">Dividend</span> <input class="webforminput" name="U36I89" type="text" /><br /><span class="webformlabel">CPP-OAS-QPP</span> <input class="webforminput" name="U37I90" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Retirement income</span> <input class="webforminput" name="U38I91" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Child Support</span> <input class="webforminput" name="U39I92" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Other</span> <input class="webforminput" name="U40I93" type="text" /><br /><span class="webformlabel">Cash-Chequing Acct</span> <input class="webforminput" name="U41I103" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Savings Acct</span> <input class="webforminput" name="U42I104" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">RSP</span> <input class="webforminput" name="U43I105" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">RIF</span> <input class="webforminput" name="U44I106" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">LIRA</span> <input class="webforminput" name="U45I107" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">TFSA</span> <input class="webforminput" name="U46I108" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">RESP</span> <input class="webforminput" name="U47I109" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">DPSP</span> <input class="webforminput" name="U48I110" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Other Liquid Assets</span> <input class="webforminput" name="U49I284" type="text" /><br /><span class="webformlabel">Home (Market Value)</span> <input class="webforminput" name="U50I101" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Business</span> <input class="webforminput" name="U51I111" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Real Estate</span> <input class="webforminput" name="U52I112" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Rental Properties</span> <input class="webforminput" name="U53I113" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Insurance cash value</span> <input class="webforminput" name="U54I114" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Jewelry-Collectibles</span> <input class="webforminput" name="U55I115" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Boat</span> <input class="webforminput" name="U56I116" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Cottage</span> <input class="webforminput" name="U57I117" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Vehicle</span> <input class="webforminput" name="U58I118" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Land</span> <input class="webforminput" name="U59I119" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Other Fixed Assets</span> <input class="webforminput" name="U60I120" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Principle 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class="mandatorymarker">*</span><br /><span class="webformlabel">Car lease</span> <input class="webforminput" name="U68I129" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Credit Card</span> <input class="webforminput" name="U69I130" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Tax owing</span> <input class="webforminput" name="U70I131" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Other Liabilities</span> <input class="webforminput" name="U71I132" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Total Liquid Assets</span> <input class="webforminput" name="U72I232" type="text" /><br /><span class="webformlabel">Total Fixed Assets</span> <input class="webforminput" name="U73I231" type="text" /><br /><span class="webformlabel">Total Liabilities</span> <input class="webforminput" name="U74I230" type="text" /><br /><span class="webformlabel">Objective - Income %</span> <input class="webforminput" name="U75I163" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Objective - Growth %</span> <input class="webforminput" name="U76I164" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Objective - Aggressive %</span> <input class="webforminput" name="U77I165" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Risk - Low</span> <input class="webforminput" name="U78I167" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Risk - Medium</span> <input class="webforminput" name="U79I168" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Risk - High</span> <input class="webforminput" name="U80I169" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Investment time frame</span><select class="webformselect" name="U81I212"><option></option><option>Long</option><option>Medium</option><option>Short</option></select><span class="mandatorymarker">*</span><br /><span class="webformlabel">Investment Knowledge</span><select class="webformselect" name="U82I213"><option></option><option>Good</option><option>Limited</option><option>Poor</option><option>Sophisticated</option></select><span class="mandatorymarker">*</span><br /><span class="webformlabel">Referred by</span> <input class="webforminput" name="U83I185" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Have you met face to face?</span><select class="webformselect" name="U84I186"><option></option><option>Yes</option><option>No</option></select><span class="mandatorymarker">*</span><br /><span class="webformlabel">How long have you known the client?</span> <input class="webforminput" name="U85I187" type="text" /><span class="mandatorymarker">*</span><br /><span class="webformlabel">Is the advisor registered in client's province of residence?</span><select class="webformselect" name="U86I188"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">Joint tenants with rights of survivorship and not as tenant in common</span><select class="webformselect" name="U87I234"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">Tenants in common without the right of survivorship</span><select class="webformselect" name="U88I235"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">Are you a snr officer or director of a public trading company?</span><select class="webformselect" name="U89I174"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">Do you, alone or as part of a group, hold or control any such company?</span><select class="webformselect" name="U90I222"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">Have you authorized anyone to use discretion in handling your account?</span><select class="webformselect" name="U91I175"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">Regulatory\Anyone else have any authority over the acct?</span><select class="webformselect" name="U92I176"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">Anyone else have any financial interest in the acct?</span><select class="webformselect" name="U93I177"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">Anyone else guarantee this acct?</span><select class="webformselect" name="U94I178"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">Is this acct used by or on behalf of a 3rd party?</span><select class="webformselect" name="U95I179"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">Do you have direct or indirect interest in the acct other than commission?</span><select class="webformselect" name="U96I180"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">Are you or spouse employee,Dir,Prtnr or Offcr of a dealer,StockExch or IIROC?</span><select class="webformselect" name="U97I181"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">Do you trade or intend to trade with other investment firms?</span><select class="webformselect" name="U98I182"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">Do you have any other accounts with our firm?</span><select class="webformselect" name="U99I183"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">Are you or someone close a Head of State, Ambassador, etc. for a foreign State?</span><select class="webformselect" name="U100I223"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">Margin & Leverage disclosure form completed & signed</span><select class="webformselect" name="U101I203"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">Leverage approval template</span><select class="webformselect" name="U102I204"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">Leverage risk disclosure form</span><select class="webformselect" name="U103I205"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">Has money been borrowed to invest</span><select class="webformselect" name="U104I207"><option></option><option>Yes</option><option>No</option></select><br /><span class="webformlabel">How much money has been borrowed to invest</span> <input class="webforminput" name="U105I208" type="text" /><br /><span class="webformlabel">Date of loan</span> <input class="webforminput" name="U106I209" type="text" /><br /><span class="webformlabel">ID #1 - Type</span><select class="webformselect" name="U107I216"><option></option><option>Bank Card</option><option>Birth Certificate</option><option>Citizenship Certificate</option><option>Debit Card</option><option>Driver's License</option><option>Employment ID</option><option>Health Insurance Card</option><option>Other</option><option>Passport</option><option>SSN</option></select><br /><span class="webformlabel">ID #1 - ID Number</span> <input class="webforminput" name="U108I217" type="text" /><br /><span class="webformlabel">ID #1 - Place of Issuance</span> <input class="webforminput" name="U109I289" type="text" /><br /><span class="webformlabel">ID #1 - Expiry Date</span> <input class="webforminput" name="U110I286" type="text" /><br /><span class="webformlabel">ID #2 - Type</span><select class="webformselect" name="U111I218"><option></option><option>Bank Card</option><option>Birth Certificate</option><option>Citizenship Certificate</option><option>Debit Card</option><option>Driver's License</option><option>Employment ID</option><option>Health Insurance Card</option><option>Other</option><option>Passport</option><option>SSN</option></select><br /><span class="webformlabel">ID #2 - ID Number</span> <input class="webforminput" name="U112I219" type="text" /><br /><span class="webformlabel">ID #2 - Place of Issuance</span> <input class="webforminput" name="U113I291" type="text" /><br /><span class="webformlabel">ID #2 - Expiry Date</span> <input class="webforminput" name="U114I292" type="text" /><br /><span class="webformlabel">Account Application Information & KYC\Account #1 Profile\Account #</span> <input class="webforminput" name="U115I333" type="text" /><br /><span class="webformlabel">Account Application Information & KYC\Account #1 Profile\Account Type</span><select class="webformselectm" multiple="multiple" name="U116I334" size="10"><option>Cash CDN</option><option>Cash US</option><option>DAP CDN</option><option>DAP US</option><option>Family RESP</option><option>GIC</option><option>Group RSP</option><option>Group SP RSP</option><option>Hedge CDN</option><option>Hedge US</option><option>Individual RESP</option><option>IPP/RCA</option><option>Leveraged</option><option>LIF/LRIF</option><option>LIRA/LRSP</option><option>Margin CDN</option><option>Margin US</option><option>Open</option><option>Option CDN</option><option>Option US</option><option>PRIF</option><option>QASP/SME</option><option>RIF</option><option>RLSP</option><option>RRSP</option><option>RSP</option><option>SEGS</option><option>Short CDN</option><option>Short US</option><option>SP RSP</option><option>SPRIF</option><option>TFSA CDN</option><option>TFSA US</option></select><br /><span class="webformlabel">Account Application Information & KYC\Account #2 Profile\Account #</span> <input class="webforminput" name="U117I336" type="text" /><br /><span class="webformlabel">Account Application Information & KYC\Account #2 Profile\Account Type</span><select class="webformselectm" multiple="multiple" name="U118I337" size="10"><option>Cash CDN</option><option>Cash US</option><option>DAP CDN</option><option>DAP US</option><option>Family RESP</option><option>GIC</option><option>Group RSP</option><option>Group SP RSP</option><option>Hedge CDN</option><option>Hedge US</option><option>Individual RESP</option><option>IPP/RCA</option><option>Leveraged</option><option>LIF/LRIF</option><option>LIRA/LRSP</option><option>Margin CDN</option><option>Margin US</option><option>Open</option><option>Option CDN</option><option>Option US</option><option>PRIF</option><option>QASP/SME</option><option>RIF</option><option>RLSP</option><option>RRSP</option><option>RSP</option><option>SEGS</option><option>Short CDN</option><option>Short US</option><option>SP RSP</option><option>SPRIF</option><option>TFSA CDN</option><option>TFSA US</option></select><br /><span class="webformlabel">Account Application Information & KYC\Account #2 Profile\Objective\Objective - Income %</span> <input class="webforminput" name="U119I340" type="text" /><br /><span class="webformlabel">Account Application Information & KYC\Account #2 Profile\Objective\Objective - Growth %</span> <input class="webforminput" name="U120I341" type="text" /><br /><span class="webformlabel">Account Application Information & KYC\Account #2 Profile\Objective\Objective - Aggressive %</span> <input class="webforminput" name="U121I342" type="text" /><br /><span class="webformlabel">Account Application Information & KYC\Account #2 Profile\Risk Tolerance\Risk - Low %</span> <input class="webforminput" name="U122I345" type="text" /><br /><span class="webformlabel">Account Application Information & KYC\Account #2 Profile\Risk Tolerance\Risk - Medium %</span> <input class="webforminput" name="U123I346" type="text" /><br /><span class="webformlabel">Account Application Information & KYC\Account #2 Profile\Risk Tolerance\Risk - High %</span> <input class="webforminput" name="U124I347" type="text" /><br /><span class="webformlabel">Account Application Information & KYC\Account #2 Profile\Investment Time Frame\Investment Time Frame</span><select class="webformselect" name="U125I350"><option></option><option>Long</option><option>Medium</option><option>Short</option></select><br /><span class="webformlabel">Account Application Information & KYC\Account #2 Profile\Investment Time Frame\Investment Knowledge</span><select class="webformselect" name="U126I351"><option></option><option>Good</option><option>Limited</option><option>Poor</option><option>Sophisticated</option></select><br /><span class="webformlabel">Account Application Information & KYC\Account #3 Profile\Account #</span> <input class="webforminput" name="U127I353" type="text" /><br /><span 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