Breakfast Seminar - Toronto - ON
Senior's Issues, September 27th, 2016
This breakfast seminar offered an opportunity to discuss how best to deal with specific challenges that may arise when dealing with Senior and/or Vulnerable clients.
Topics included:
• Effective Communication, KYC, KYP, Suitability and Supervision;
• Power of Attorney, Trusts and Estate Accounts: Risk and advantages;
• Joint Accounts: Estate planning risks and beneficiary designations;
• Client Capacity and Elder Abuse concerns, including escalation process; and
• Overall Firm Obligations, Red Flags and Best Practices
Speakers:
David A. Hausman, Partner, Fasken Martineau DuMoulin LLP
Carol Inwood, Senior Counsel, BMO Wealth Management
Terry Moore, Senior Counsel, CIBC
Senior's Issues, September 27th, 2016
This breakfast seminar offered an opportunity to discuss how best to deal with specific challenges that may arise when dealing with Senior and/or Vulnerable clients.
Topics included:
• Effective Communication, KYC, KYP, Suitability and Supervision;
• Power of Attorney, Trusts and Estate Accounts: Risk and advantages;
• Joint Accounts: Estate planning risks and beneficiary designations;
• Client Capacity and Elder Abuse concerns, including escalation process; and
• Overall Firm Obligations, Red Flags and Best Practices
Speakers:
David A. Hausman, Partner, Fasken Martineau DuMoulin LLP
Carol Inwood, Senior Counsel, BMO Wealth Management
Terry Moore, Senior Counsel, CIBC
| seniors_issues_cls_seminar_slides_sept_27_2016-2.pptx |
Breakfast Seminar , Calgary, AB
Statutory Best Interest Duty, September 15th, 2016
With the CSA consultation period on proposed regulatory changes coming to a close on August 26, 2016, many IIROC firms are looking upon their regulatory future with uncertainty. This seminar offered an opportunity to discuss with both regulators and peers the potential benefits and impacts of full adoption of Consultation Paper 33-404 (“Proposals to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients”), and more specifically with respect to the proposed Statutory Best Interest Duty. Topics discussed by our panel will include:
· A framework summary of the proposals, and how they may differ from existing IIROC obligations;
· On the heels of CRM, CRM2 and Point of Sale, is now the right time for a Best Interest Standard? Is any time, given existing IIROC standards already met by member firms?
· Suggested supervisory protocols, new reporting and best practices to consider or implement now in preparation for adoption of a Statutory Best Interest Standard
Speakers:
Statutory Best Interest Duty, September 15th, 2016
With the CSA consultation period on proposed regulatory changes coming to a close on August 26, 2016, many IIROC firms are looking upon their regulatory future with uncertainty. This seminar offered an opportunity to discuss with both regulators and peers the potential benefits and impacts of full adoption of Consultation Paper 33-404 (“Proposals to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients”), and more specifically with respect to the proposed Statutory Best Interest Duty. Topics discussed by our panel will include:
· A framework summary of the proposals, and how they may differ from existing IIROC obligations;
· On the heels of CRM, CRM2 and Point of Sale, is now the right time for a Best Interest Standard? Is any time, given existing IIROC standards already met by member firms?
· Suggested supervisory protocols, new reporting and best practices to consider or implement now in preparation for adoption of a Statutory Best Interest Standard
Speakers:
- Brett Kimak, Chief Risk Officer, ATB Investor Services
- Richard Korble, Director, Prairie Region, IIROC
- Lynn Tsutsumi, Director, Market Regulation, Alberta Securities Commission
| asc_lib1-5316878-v2-presentation_for_iiroc-cls.pdf |
Breakfast Seminar, Toronto, ON
OTC Derivatives Reporting (91-507 & 96-101), May 19th, 2016
The seminar offered an opportunity to understand the OTC derivative reporting and product determination requirements. What are the challenges and barriers facing dealers and what role will compliance perform?
Speakers:
OTC Derivatives Reporting (91-507 & 96-101), May 19th, 2016
The seminar offered an opportunity to understand the OTC derivative reporting and product determination requirements. What are the challenges and barriers facing dealers and what role will compliance perform?
Speakers:
- Kevin Fine, Director - Derivatives, Ontario Securities Commission
- Ron Hoover, Managing Director - Regulatory Change Management, CIBC Capital Markets
- Yury Shmuylovich, Managing Director/Co-Head - Global Equity and Commodity Group, National Bank Financial Group
Breakfast Seminar, Toronto, ON
Sanctions Compliance and AML Risk Assessment, February 10th, 2016
Sanctions Compliance and AML Risk Assessment, February 10th, 2016