Implementing KYP: Dealer & Advisor Case Studies

With less than three months remaining on the Client Focused Reforms (CFR) journey, investment dealers and advisors will be taking final steps to meet their KYP requirements. Throughout this journey, InvestorCOM met with more than 50 dealers and helped dozens meet their KYP requirements.

Watch the on-demand webinar to hear case studies on how various investment dealers and advisors are tackling their KYP requirements.

Discussion will focus on:

  • Practical approaches for firms to meet their KYP obligations.
  • Defining and monitoring a product shelf for significant change.
  • How advisors can meet their KYP obligation and assess available alternatives using an unbiased and repeatable process.
  • Best practices for advisors to document their KYP and reasonably available alternatives assessment.

Meet Your Speakers

Dave Carr-Pries InvestorCOM

Dave Carr-Pries, Vice President, Product & Marketing, InvestorCOM

Dave has spent the last decade helping financial organizations be compliant while focusing on the client experience. He delivers best-in-class design practices, technology, and a passion for creating intuitive experiences and solutions. Dave supported the industry’s adoption and implementation of CRM2 through investor and advisor research, CRM2 report design for 30 Canadian dealers including banks, insurance companies and mid-sized independent dealers. He has since been focusing on delivering solutions for Client Focused Reforms in Canada and Regulation Best Interest in the US.

Parham Nasseri InvestorCOM

Parham Nasseri, Vice President Regulatory Strategy, InvestorCOM

Parham Nasseri has over a decade of wealth management and regulatory experience. He is the Chair of the Canadian Advocacy Council of CFA Societies Canada and previously held roles at the Ombudsman for Banking Services and Investments and the Brattle Group. Mr. Nasseri is a CFA Charterholder and has an MBA from Schulich School of Business.