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
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
- 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.
Bookings are closed for this event.