THE 360 NEWSLETTER

In an effort to assist you in managing your outdated KYCs, a new tile called “KYC soon to Expire” will be added in the “My Actions” tab of the Advisor Dashboard effective September 19, 2023.

Note: The above tooltip will display when you hover over the tile.

The “KYC soon to Expire” tile will display a list of KYCs that are set to expire within the next 6 months (i.e. 180 days), with the default sorted by least to greatest number of days remaining until the KYC expires. This will enable you to take a proactive approach in ensuring your client’s KYCs are effectively updated BEFORE they expire.

This page is refreshed weekly with the refreshed date shown at the bottom of the page. The counts for number of days remaining are based off the weekly refresh date.

Note: $0 dollar accounts may appear in dashboard because there may still be minimal (i.e. less than 50 cents) in the account and due to rounding, it displays as $0. These accounts unfortunately cannot be excluded from the dashboard but will be taken into consideration during compliance review.

Should you have any questions or require additional information, please do not hesitate to contact your Compliance Officer.