Client Focused Reform Discussion – February 28, 2019
InvestorCOM is hosting a Client Forum to discuss Client Focused Reforms on February 28 th . It will be a small group of senior Financial Services compliance professionals representing all the major dealers (banks, insurance, and independent). As a partner delivering compliance solutions, InvestorCOM has a history of working with industry leaders and creating innovative solutions to address your ongoing compliance needs. In light of the ongoing industry conversation with respect to Client Focused Reforms, we have already begun to plan how our solutions can extend to support the key areas addressed in the OSC’s position paper. Although the regulations aren’t final, they are beginning to take shape.
We are pleased to announce the following guest contributors during the session:
- Debra Foubert, Director, Compliance & Registrant Regulation at the OSC will be present to provide a regulatory update and perspective from the regulator.
- Ellen Bessner, Partner at Babin Bessner Spry LLP is an expert in regulatory matters and best selling author of Communication Risk: how to bridge the client-advisor gap to protect and grow your business. Ellen will discuss the Know-Your-Client impacts that client focused reforms may have.
Event details are as follows:
Where: Biff’s Bistro, 4 Front St E, Toronto
When: 11:30 – 2:00 Thursday, February 28, 2019
RSVP: Invitation only event. Please email email@example.com if you are interested in attending