Compliance Insights
Retail Vs Wholesale Clients: Who is a retail client?
It is important for anyone providing a financial service to ensure they know the difference when identifying a retail and wholesale client. This distinction is…
Retail Vs Wholesale Clients: Who is a Wholesale Client?
A client is considered a retail client in respect to the provision of financial products and financial services unless one or more of the following…
Accountant Certificate: Who is eligible?
Engaging Introductions: Capturing Your Audience’s Interest A person holding an accountants certificate is a wholesale client for the purposes of providing financial products and services…