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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: 
  • 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.​
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