Cas Litwin

Director, Advisor Services Compliance


All Sessions by Cas Litwin

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Day 1: Jun 17, 2020

1:30 pm

1:30 pm

How Client Focused Reforms Will Affect IIROC and MFDA Firms

Industry response to Client Focused Reforms may depend, in part, on how SROs plan to implement and oversee the implementation of the reforms. Assess the role of IIROC and MFDA in implementing the reforms, and how industry is responding. Gain valuable insight into how:

  • Firms can comply with specific oversight issues IIROC and MFDA have targeted
  • Firms are complying with revised rules

Assess how firms can respond to IIROC and MFDA Client Focused Reform implementation

Day 2: Jun 18, 2020