2018 CCLS Education Sub-Committee Breakfast Seminar
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 to be discussed include:
Questions in advance are both encouraged and welcomed by the Panel.
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.
Date: Tuesday October 16, 2018
Time: Registration 7:30 AM EST
Presentation 8:00-9:00 AM EST
Location: Torys LLP, 79 Wellington Street West, 33rd Floor, TD South Tower, Toronto, ON, M5K 1N2
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 to be 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
Questions in advance are both encouraged and welcomed by the Panel.
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.
Date: Tuesday October 16, 2018
Time: Registration 7:30 AM EST
Presentation 8:00-9:00 AM EST
Location: Torys LLP, 79 Wellington Street West, 33rd Floor, TD South Tower, Toronto, ON, M5K 1N2
2018 CCLS Annual Compliance Conference
November 27th 2018
The Delta Toronto Hotel, Toronto, ON
2018 CCLS Annual Holiday Cocktail Reception
November 27th 2018
Scotia Plaza, Toronto, ON
November 27th 2018
Scotia Plaza, Toronto, ON
Committee members ... Click Here to access the committee members' only site.