This webinar will help investment professionals understand their regulatory requirements and how the CFR requirements will impact their work and practices.
Key topics covered in the webinar include:
- Changes to the suitability requirements
- Resolving material conflicts of interest in the best interest of the client
- How you must “put the client’s interest first” when making a recommendation
- How you must meet the enhanced know-your-client (KYC) and know-your-product (KYP) standards
- The prohibition against misleading communications
Qualifies for 1.00 hours of Compliance CE credits with IIROC.