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.