Clients First - Enhancing Investor Protection: Part 2 - Older and Vulnerable Clients
This webinar will help industry professionals understand the new regulatory requirements to seek a trusted contact person on an account and when placing a temporary hold in certain circumstances. These changes will come into effect on December 31, 2021.
Key topics covered in the webinar include:
- Recognizing signs of financial exploitation in clients
- Understanding the purpose of the trusted contact person
- Taking reasonable steps to ask your client whether they would assign a trusted contact person
- Meeting the requirements when placing a temporary hold on an account
Qualifies for 1.00 hours of Compliance CE credits with IIROC.