Clients First-Enhancing Investor Protection: Part One- Client Focused Reforms
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.