Tag: client focused reforms

Regulatory Enforcement

CFR: Implementing KYP – Webinar Q&A

Recently, InvestorCOM hosted a webinar with “Client Focused Reforms: Implementing KYP” featuring Rebecca Cowdery and Michael Taylor from BLG, Richard Wylie from Assante Wealth Management, and Parham Nasseri and Dave […]

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Client Focused Reforms – Implementing KYP

ON-DEMAND WEBINAR With the CFR implementation deadline fast approaching, many firms are looking for practical strategies for meeting the remaining elements of the CFRs. Watch this 60-minute on-demand webinar to […]

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Client Focused Reforms the SRO Chapter

Client Focused Reforms: the SRO Chapter

Last week, the MFDA and IIROC published their much-awaited versions of the Client Focused Reforms (CFRs) (MFDA’s publication – IIROC’s publication). These versions are aimed to amend the Self Regulatory […]

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IDC ShelfMonitor

ShelfMonitor For Dealers – Now Available

After an extensive investigation and feedback period, the CSA (Client Securities Administrators) recently released the published rule amendments to implement Client Focused Reforms (CFR) across Canada. CFR is a series […]

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