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CIRO Mutual Fund Dealer Audits: A Conversation on the Critical Issues and Principles

Description

Date: 11/27/2023

Registration & Breakfast: 8:30 am

Start time: 9:00 am

End Time: 10:30 am

Location: IIAC Office, 100 Wellington St W, Suite 1910, Toronto

 

Register for the on-demand course: https://iiac-accvm.ca/courses/2023-ciro-mutual-fund-dealer-audits/

 

The IIAC is pleased to welcome:

Karen McGuinness, Senior Vice President, Office of the Investor, Member Intake and Innovation

Louise Hamel, VP Member Compliance

 

For a discussion with IIAC President & CEO Laura Paglia, on the essential matters affecting audits for:

  • Mutual fund dealers
  • Non-integrated dealers with mutual fund and investment dealer registrations
  • Integrated/dual registered dealers

Issues Include:

  • 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.

 

*** This session may be eligible for CE credits ***

 

*Member Discount Applicable, please log in. 

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