Gillian Kunza

CCO & Head of Business Integrity

Gillian is the Chief Compliance Officer and Head of Business Integrity at Aligned Capital Partners Inc. She has held a variety positions of increasing scope and seniority within Aligned Capital since 2012, including VP of Finance and VP of Financial Operations. In her current role, Gillian leads the Business Integrity division of ACPI, carrying out the responsibilities of the CCO and driving risk management across the organization. She plays a key role at ACPI in leading technology and the evolution of compliance. She received her Bachelor of Business Administration from Trent University and is a Chartered Professional Accountant.

All Sessions by Gillian Kunza

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Day 1: Jun 17, 2020

3:00 pm

3:00 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