The CFRs: What's Working, What's Not and the Journey Ahead

Webinar: September 27, 2022 at 1 pm ET

It’s been nine months since the Client Focused Reforms (CFRs) went into effect. Since then, have the implementations of the Know Your Product (KYP) and product due diligence requirements delivered better investor outcomes and recommendations?  Or are firms and advisors still trying to figure it out?

Join us on September 27 at 1 pm ET to hear Marie-Josée Audet from Desjardins Financial Security Investment and Betty Tien from Deloitte Canada discuss the impact of the CFRs and how technology is being used to support their requirements.

Specifically, the discussion will cover:

  • New research on the amount of significant change within the mutual fund and ETF landscape and their impact
  • Where the CFRs are showing progress
  • The challenges of taking a manual approach to implementing KYP
  • What’s next in the CFR journey

Meet Your Speakers

Marie-Josee Audet Desjardins Financial Security

Marie-Josée Audet, Vice-President, Operational Excellence and Administration, Desjardins Financial Security Investment

Marie-Josée has more than 20 years of experience in the investment and insurance industry. Over her the span of her career, she has participated in numerous industry changes and technological advancement projects, and in her current role she oversees the mutual fund dealer DFSI. An actuary graduate, Marie-Josée also holds an MBA from the University of Ottawa and is involved in a number of industry boards and committees.

Betty Tien Deloitte Canada

Betty Tien, Partner, Risk Advisory at Deloitte Canada

Betty has spent the last decade helping Canadian financial services clients develop, implement and maintain their regulatory compliance management programs in the wealth and investment management industry. She works with securities registrants to understand and implement regulatory expectations, with a focus on effective and sustainable governance, processes and controls. Betty is a CPA, CA and holds a Masters of Accounting from the University of Waterloo.

Dave Carr-Pries InvestorCOM

Dave Carr-Pries, VP Consulting Services at 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.