Part 2: Proposal 33-404 and Your Compliance Checklist

In this part of the eBook we asked our speakers how proposal 33-404 from the CSA may impact the industry and what should be the priorities on everyone’s compliance checklist in 2017.

Download the eBook now to ensure you stay ahead of your requirements as a registrant. Fill out the form to receive your copy now!

Part 1: The Future of Regulations & the Evolution of Fintech

In this eBook we asked our speakers about what they foresee in the future of regulation and how the evolution of Fintech is impacting efficiency within their firm.
Take away insights on:

  • How Fintech is changing the way business is being conducted
  • The move from a principles to rules based approach to regulation
  • The perspective of others on the implementation of CRM2
  • The effect of the rise of the millennial investor

 
Download the eBook now to ensure your compliance strategy is up-to-date and performing alongside industry leaders. Fill out the form to receive your copy now!

Speaker eBook 2016

Read Expert Insights from some of our 2016 speakers ahead of the:

9th Annual Focus Event on Registrant Regulation Conduct Compliance

Questions included:

  1. What do you foresee in the future of regulations?
  2. What have been major issues in implementing the phases of CRM2?
  3. How do you think OBSI’s new reforms for dispute resolution will impact the industry?
  4. What should be on everyone’s 2016 compliance checklist?

Speaker eBook 2015

Read Expert Insights from some of our 2015 speakers ahead of the:

8th Annual Focus Event on Registrant Regulation Conduct Compliance

Questions included:

  1. Where do you see the future of regulations?
  2. How do you feel the CRM II phases are going?
  3. How is the compensation structure of mutual fund fees going to affect the industry?

Speaker eBook 2014

Read Expert Insights from some of our 2015 speakers ahead of the:

7th Annual Focus Event on Registrant Regulation Conduct Compliance

Questions included:

  1. Where do you see the future of regulations?
  2. How do you feel the CRM II phases are going so far?
  3. How is FATCA affecting Canadian firms?