On-Demand Webinar

Bridging the Compliance Gap: Meeting Regulator Expectations Under CFRs 

The CSA and CIRO have issued new guidance under Staff Notice 31-368, highlighting persistent compliance gaps in how firms are implementing the Client-Focused Reforms (CFRs) — particularly around Know Your Product (KYP) and the assessment of a Reasonable Range of Alternatives. 

InvestorCOM hosted leading regulatory experts for a practical discussion focused on helping firms: 

✅ Pinpoint compliance gaps flagged by regulators
✅ Understand expectations around documentation and oversight
✅ Benchmark your KYP processes and product comparison practices
✅ Leverage technology to demonstrate consistency and defensibility 

Download Webinar Slides:

Nancy Mehrad, CEO & Securities Lawyer, Registrant Law

Nancy is a securities lawyer with over 20 years’ experience providing securities and regulatory compliance legal advice to portfolio managers, investment fund managers, and dealers (including EMDs and CIRO dealers). Nancy was a nominee of Canadian Lawyer’s Top 25 Most Influential Lawyers in Business Law in 2022, and is a member of the Ontario Securities Commission’s Regulatory Advisory Committee.  Nancy regularly advises her clients in the areas of Canadian securities laws and Canadian securities registration requirements.

Brian D. Driscoll, Supervising Portfolio Manager, Designed Wealth Management

Brian brings extensive experience across the financial services industry, having worked in a wide range of roles over the course of his career. His background spans compliance, advisory, and operational functions, giving him a well-rounded and practical understanding of portfolio management, regulatory requirements, and the needs of retail clients.

Christopher J. Somerville, Partner, Affleck Greene McMurtry LLP

 Chris brings a creative, strategic, and practical approach to litigation. His wide-ranging experience and expertise encompass numerous areas of law, including corporate/commercial, securities, employment, construction, product liability, asset recovery, and administrative law. Recognized i

Chris brings a creative, strategic, and practical approach to litigation. His wide-ranging experience and expertise encompass numerous areas of law, including corporate/commercial, securities, employment, construction, product liability, asset recovery, and administrative law. Recognized in Best Lawyers Canada 2025 for Corporate & Commercial Litigation, Chris has represented clients as lead counsel at the Ontario Superior Court of Justice, Court of Appeal for Ontario, and Ontario Securities Commission.

Beyond Ontario courts and tribunals, Chris has advocated before the Canadian International Trade Tribunal, Canada Border Services Agency, and the Federal Court of Appeal. He is proud to have acted for national and international corporations, investment dealers and advisors, insurance companies, labour unions, charities, high-net-worth individuals, and working families.

Kendra Thompson, Principal, Founder, Epok Advice

Kendra Thompson is a 25 year veteran of the Wealth Management Industry with a track record for helping the largest global players with their biggest transformations . Her passion is Advice and the power it has to help individuals and communities gain access to a better future.

She has led diverse teams at Merrill Lynch HSBC, Raymond James, Accenture & Deloitte all in service of the Future of Advice & Investing. Her research aims to better understand the needs of tomorrow’s investors and how the financial services industry can meet those needs for a profit. She currently leads Epok Advice, a boutique firm serving the financial services industry.

Acting as consultant to the executive teams and boards, Kendra advises on strategy topics including M&A, Growth, High Performance Sales and Operational Excellence. She also leads teams delivering on AI, digital technology & organizational change. A champion of FinTech, Kendra acts as Executive Advisor to Private Equity & StartUp leaders looking to operationalize new technology & disrupt the status quo of Financial Services Globally.

Parham Nasseri, President, InvestorCOM

Parham Nasseri has spent his career translating complex regulatory requirements into technology solutions that improve investor and advisor outcomes. He has over 15 years of regulatory and wealth management experience, including senior roles in regulatory analytics, digital transformation, and investment analytics.

Parham currently serves as Vice President, Product & Regulatory Strategy at InvestorCOM, a leading software solutions provider for the financial services industry. He serves on several advisory boards including Ontario Securities Commission’s Investor Advisory Panel, CFA Societies’ Canadian Advocacy Council, The Canadian RegTech Association, and Junior Achievements of Central Ontario. He is also the host of the Wealth Compliance Leaders series.