Day 1: Jun 17, 2020
2:30 pm
2:30 pm
Compliance Officers’ Panel: How to Implement the New Client-Focused Reforms
With the impending changes to determining and documenting suitability coming into effect under Client-Focused Reforms, all regulated firms must bolster their oversight of how registrants deliver advice. Craft a new model for advice, suitability, KYP and KYC guidelines through a more focused oversight model. Take away practical strategies and solutions to:
- Ensure registrants are knowledgeable about the securities invested in by clients
- Create training and recordkeeping processes tied to KYP expectations
- Monitor and confirm that the client’s interests are put first
- Understand how different firms (EMDs and PMs) apply these rules to their businesses
- Determine the nuanced rules which may be different for institutional permitted clients
Meet your upcoming compliance obligations with respect to suitability, KYP and KYP changes
Day 2: Jun 18, 2020
