Speakers discuss the essential matters affecting audits for mutual fund dealers, non-integrated dealers with mutual fund and investment dealer registrations and integrated/dual registered dealers. Issues discussed are:
- Description of the current audit process and cycle, proposed changes, and timing of proposed changes for head office and branches.
- Common Deficiencies and Resolutions.
- Client Focused Reforms including “conflicts of interest”, KYC, KYP.
- Current and future areas of interest.
Speakers
Karen McGuinness
Senior Vice President – Office of the Investor, Member Intake and Innovation
CIRO
Louise Hamel
VP – Member Compliance
CIRO