Wayne Bolton is an Edward Jones principal and serves as the chief compliance officer for Edward Jones in Canada.
Wayne has extensive compliance experience, which includes working with Invesco’s North America Distributor Compliance area, where he led the compliance departments of three business units in North America. He also served as Invesco’s vice president and chief compliance officer in Canada, with overall responsibility for the compliance program for Invesco Canada. Prior to Invesco, Wayne served as the vice president, Compliance for the Wealth Management division at CIBC.
Wayne is a member of the Conduct, Compliance and Legal Advisory Section (CCLS) of the Investment Industry Regulatory Organization of Canada and serves on the organization’s executive committee. He is also on the Board of Governors for Junior Achievement Central Ontario.
Day 1: Jun 17, 2020
Panel Discussion: Conflicts of Interest
Building a Compliance Program that will Meet the New Expectations on Addressing Conflicts of Interest
Identifying and managing conflicts of interest between registrants and clients has been a major focus for all financial services firms. But with the Client-Focused Reform changes taking effect on June 30, 2021, you must ensure your management of conflicts of interest are up to the new standards. Delve into the details of the new requirements to:
- Meet regulatory expectations in addressing material conflicts of interest
- Focus on regulatory expectations regarding proprietary products, 3rd party compensation, internal incentives, embedded compensation, and referral arrangements
- Document that reasonable steps were taken to identify existing conflicts of interest, and those that are foreseeable
Ensure your organization meets the new rules on addressing conflicts of interest
Day 2: Jun 18, 2020