Brian Pynn


All Sessions by Brian Pynn

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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