CFR: Conflicts of Interest - Post Implementation and Key Lessons Learned
Join our panelists as they discuss some of the challenges and lessons learned as dealers adopted the new Conflict of Interest (COI) requirements under the Client Focused Reforms (CFR).
This discussion will cover: - How dealers assessed the new requirements - Whether their assessment resulted in substantial changes to their COI programs; and - Key lessons learned during the development, execution, and implementation of these changes.
Our panelists will also discuss common material conflicts dealer members need to continue to address as they review, enhance, and evolve their COI programs.
- Wayne Bolton, Chief Compliance Officer, Edward Jones Canada - Sean Shore, Lawyer, Canadian Compliance & Regulatory Law - Noel Sequeira, Manager, Business Conduct Compliance, IIROC
Moderator: Michelle Alexander, Vice President and Corporate Secretary, IIAC