Thursday September 10, 2020
10 am – 12 pm ET

The Virtual Roundtable: Strategies and Solutions for Meeting Client Focused Reforms (CFR) is a by-invitation-only online event for wealth leaders to discuss how technology can help meet their firm’s CFR requirements.

Kelly Vickers, Senior Policy Advisor at the Investment Funds Institute of Canada (IFIC) is an expert in Client Focused Reforms. In collaboration with InvestorCOM, Kelly will engage in a roundtable discussion to address wealth managers’ questions and concerns related to CFR.

The 2-hour session will be highly interactive and provide compliance leaders with an opportunity to better understand the nuances of the regulation, discuss compliance challenges, and consider viable strategies and solutions in a collaborative virtual environment with industry peers.

Attendance is limited to 25 participants.

10.00 am – 10.10 am

10.10 am – 10.40 am

10.40 am – 11.00 am

11.00 am – 11.05 am

11.05 am – 11.35 am

11.35 am – 11.50 am

11.50 am – 12.00 pm

Opening Remarks from David Reeve, CEO InvestorCOM

Dealer KYP Obligations:  Managing Your Product Shelf

Enhanced KYP & Suitability Obligations: Education and Suitable Alternatives

Break

Putting the Client’s Interest First: Disclosure, Recordkeeping and other POS Activities

Technology Feedback

Survey Results and Closing Remarks

• Learn from other wealth leaders, the issues they face and how they are working to solve them.
• Get answers to your pressing questions from CFR expert Kelly Vickers.
• Receive a summary of Roundtable insights for sharing with your team.

To learn more about the CFR Virtual Roundtable, please contact Richard Pitcher at rpitcher@investorcom.com