On February 28 2019, InvestorCOM hosted a client discussion on the pending regulation – Client Focused Reforms. We convened 25 of the industry’s leaders representing Investment Dealers, Asset Managers, Regulators and Legal Experts. The agenda of the discussion started with an update from the CSA, followed by a general discussion on KYC/KYP and concluded with InvestorCOM sharing our technology vision for CFR. By applying the right technology solutions to new regulations, advisors will be positioned to not only meet the new regulation but improve their client relationships. Investment Dealers will also be faced with a new level of scrutiny in terms of managing their product shelf and InvestorCOM’s CFR solution delivers value to this group as well.
All attendees left the event with a copy of https://www.babinbessnerspry.com/ellen-bessner-books.html which is a great read and provides strategic guidance on how communications between advisor and client can meet and exceed regulatory requirements. Thank you to all that joined the conversation.