On October 3rd, the Canadian Securities Administrators (CSA) published Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms).
This publication follows the release of CSA Notice and Request for Comment dated June 21, 2018 – Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms), and announces final rules specifically on the Know-Your-Client (KYC), Know-Your-Product (KYP), Suitability, and Conflicts of Interest aspects of the reforms.
Please join Rhonda Goldberg, Executive Vice President and General Counsel, and Andrew Papini, Senior Legal Counsel, to discuss the publication, and the impact on advisors, your dealers, and the investors you serve.
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Date: Thursday, October 10, 2019
Time: 2:00pm – 3:00pm (EST)
Format: Live webcast (audio and slides)
CE credits pending approval from the following governing bodies: IIROC, IAFE, AIC, FP Canada, IQPF and CSF.*
Executive Vice President and General Counsel
Senior Legal Counsel
*Please note, only registered participants for the webcast may be eligible for Continuing Education (CE) credits (subject to approval and meeting the guidelines below).
CE Credit Guidelines
Pending approval, CE Certificates are automatically emailed to you, and may take up to 60 days.