Gillian Kunza

CCO & Head of Business Integrity

All Sessions by Gillian Kunza

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Day 1: Jun 17, 2020

2:30 pm

2:30 pm

How to Manage Increased Suitability Requirements Under the New Client Focused Reform Rules

With the impending changes on 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 the CSA’s role in monitoring registrants
  • 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