What do New Developments in Mutual Fund Fees, Regtech, SEC, and MiFID II Reforms Mean for You?

With new updates from the CSA, an emphasis on compliant sales practices and harmonization between financial planning and securities regulations means you must adapt quickly.

Engage in special Q & A sessions with the main regulators in the country to update your compliance process.

The strategic business importance of your compliance function is growing significantly! Find out what this change as a key influencer in business decisions will mean for your future career.

Designed for investment funds, portfolio managers and EMDs, gain insights on:

  • Why the compliance function is now vital to business success and what that means for your career
  • The latest updates from the CSA
  • What impact global regulatory decisions could have on Canada
  • Financial planning harmonization
  • Avoiding conflict of interest in sales practices
  • The future of monitoring processes and technology
  • Providing suitable advice to older investors
  • Complying with CSA Staff Notice 46-307 Cryptocurrency Offerings
  • Implementing Fintech developments in compliance with regulations

Know the requirements, enhanced regulatory expectations, understand what is coming next, and achieve compliance excellence!

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