Friday, May 13, 2022
Client Focused Reforms Phase II – To 2022 and Beyond!
Firms no doubt have addressed requirements for Know-Your-Client (KYC), Know-Your-Product (KYP), Suitability Determination, Relationship Disclosure and Misleading Communications for December 2021. The solutions in place today were likely influenced by COVID, working remotely, technology and continuous advocacy/clarification with regulators during most of the two-year implementation period.
Our panel will discuss how firms tackled the requirements; any substantial changes to their compliance and supervision programs; and the key lessons/best practices learned during the development, execution, and implementation of these changes and how are firms faring in the first six months.
Speakers:
• Wayne Bolton, Chief Compliance Officer, Edward Jones
• Nick Cardinale, Chief Compliance Officer, RBC Wealth Management Canada and RBC Dominion Securities Canada Inc.
• Kam Haleem, Director, PwC Canada
• Sean Shore, Lawyer, Canadian Compliance & Regulatory Law
Client Focused Reforms Phase II – To 2022 and Beyond!
Firms no doubt have addressed requirements for Know-Your-Client (KYC), Know-Your-Product (KYP), Suitability Determination, Relationship Disclosure and Misleading Communications for December 2021. The solutions in place today were likely influenced by COVID, working remotely, technology and continuous advocacy/clarification with regulators during most of the two-year implementation period.
Our panel will discuss how firms tackled the requirements; any substantial changes to their compliance and supervision programs; and the key lessons/best practices learned during the development, execution, and implementation of these changes and how are firms faring in the first six months.
Speakers:
• Wayne Bolton, Chief Compliance Officer, Edward Jones
• Nick Cardinale, Chief Compliance Officer, RBC Wealth Management Canada and RBC Dominion Securities Canada Inc.
• Kam Haleem, Director, PwC Canada
• Sean Shore, Lawyer, Canadian Compliance & Regulatory Law
