LIVE Online webinar: Compliance Minded Approach to Client Focused Reforms
Join the discussion as we take a deep dive into:
•Conflicts of Interest
•KYP, KYC & Suitability
When: Wed., Nov 24,
2:30 PM ET
Register in advance for this webinar: https://t.co/d5kBmUmuVd
LIVE Online webinar: Compliance Minded Approach to Client Focused Reforms
Join the discussion as we take a deep dive into:
•Conflicts of Interest
•KYP, KYC & Suitability
When: Wed., Nov 24,
2:30 PM ET
Register in advance for this webinar: https://t.co/d5kBmUmuVd
Final panel at DR live Town Hall: Shared Strategies & Successes you can still join:
https://t.co/47zovdvGV8
Final poll q: What medium could aid in more intra professional collaboration, whether it be shared successes, risk mitigation strategies,or sharing of data? See results 👇🏽
Join PCMA Live DR Town Hall:
https://t.co/47zovdvGV8
Talking now about: Suitability& Concentration Limits.
New Poll q: Alongside suitability assessment based on investor circumstance (KYC), be considered when exercising professional judgement? See results👇🏽
We’re now talking Client Statements & Standardization within Industry. Join the live DR Town Hall
https://t.co/47zovdvGV8
Check out the poll results on this q: How problematic is it currently to supply consolidated info to investors who have relied upon the OM exemption?
Our PCMA DR TOWN HALL is live! Join the live Town Hall:
https://t.co/47zovdvGV8
We are talking Bad Actor Impact! Check out the poll results on this question: What would be the most appropriate or impactful to aid in preventing or discouraging those who misappropriate funds?
DR Town Hall
“An educational collaboration for DRs, by DRs.”
Wed, Oct. 20
3:00pm ET
•Bad Actor Impact & Discussion
•Client Statements & Standardization within industry
•Suitability & Concentration Limits
•Shared Strategies &
Successes
Click to Reg:
https://t.co/PqBTKwHx9F
The CSA will lead the creation of a new single enhanced self-regulatory organization for Canadian investors and the investment industry that will consolidate the functions of @IIROCinfo and @MFDA_News, and is committed to serving the public interest: https://t.co/l7xicUzKvY