2018 Breakfast Seminars
October 16, 2018
Marketing Best Practices
A panel discussion addressing the challenges that some firms have around the approval and supervision or correspondence and advertising activities at the firm, advisor and portfolio manager level. Topics discussed include:
Speakers:
Sarah Hicks, Senior Manager, Wealth Compliance, TD Bank Group
Wayne Bolton, Chief Compliance Officer, Edward Jones
Daniel Panici, Accountant, Compliance and Registrant Regulation, Ontario Securities Commission
Moderator:
Bill Brown, Director, Compliance, Gravitas Securities Inc.
Marketing Best Practices
A panel discussion addressing the challenges that some firms have around the approval and supervision or correspondence and advertising activities at the firm, advisor and portfolio manager level. Topics discussed include:
- Supervision and approval of content on Social Media platforms
- The review and approval of advertisements, newsletters, investment performance reports created by registrants
- The development of effective advertising policies and procedures
- Overview of the skills required to effectively supervise and approve advertising content
Speakers:
Sarah Hicks, Senior Manager, Wealth Compliance, TD Bank Group
Wayne Bolton, Chief Compliance Officer, Edward Jones
Daniel Panici, Accountant, Compliance and Registrant Regulation, Ontario Securities Commission
Moderator:
Bill Brown, Director, Compliance, Gravitas Securities Inc.
