Tuesday November 24, 2020
11 am – 12 pm ET

The IIROC Workshop for Client Focused Reforms (CFR): Taking KYP to the Next Level is a 60-minute online event for IIROC dealers.  This event builds on the CFR Roundtable held in September, but invites participants to take a deeper look at the CFR obligations and explore implementation opportunities surrounding the new KYP obligations for dealers and advisors.

Adrian Walrath, Director from the Investment Industry Association of Canada (IIAC) will lead the regulatory discussion during the workshop. Adrian is an expert in securities law and regulatory issues for the CFRs.

The 1-hour interactive session will also be exploring feedback on InvestorCOM’s compliance platform as it relates to meeting dealer’s and advisor’s KYP obligations.  Specifically, the session will seek to understand what enhancements, configurations, and additional data sources are needed to help IIROC dealers prepare and meet their KYP requirements and streamline new and existing processes.

Attendance is by invitation only and limited to 20 participants.

11:00 am – 11:05 am 

Opening Remarks

11:05 am – 11:30 am 

Dealer Obligations

• Regulatory expectations – an overview
• Dialogue on implementation challenges
• Demonstrating KYP adherence with confidence

11.30 am – 11.55 am

Advisor Obligations

• Regulatory expectations – an overview
• Dialogue on implementation challenges
• Demonstrating KYP adherence with confidence

11:55 am – 12:00 pm

Survey Results and Closing Remarks

• Learn how the KYP obligation will impact IIROC dealers and advisors
• Hear from your peers in the industry about the issues they face and how they are working to solve them.
• Receive a summary of Workshop insights post-event.

To learn more about the IIROC Workshop, please contact Richard Pitcher at rpitcher@investorcom.com