Date: Thursday, December 2, 2021

Time: 10:30 am – 12:00 noon ET

Regulators are spotlighting elements of Know-Your-Client (KYC) in the Client-Focused Reforms (CFR). While risk tolerance and risk capacity are not new concepts, they do raise a number of interesting questions when determining a client’s risk profile.

The IIAC invites you to join us for a webinar featuring:

• Shawn Brayman, Director of Financial Planning Methodology, Morningstar;
• Greg Davies, Head of Behavioural Finance, Oxford Risk;
• Sean McGratten, Senior Director, Regulatory Management & Governance, RBC Wealth Management; and
• Martin Springall, Manager, Policy and Governance, Raymond James, Ltd.

The panelists will address the impact of rule changes, how discussions with clients are evolving, and various ways firms and advisors can assess risk profiles, including:

• Should firms rely on questionnaires? How can we assess their efficacy?
• What role should the professional judgment of the advisor have in this process?
• How can advisors incorporate information (or lack thereof) from outside holdings into their assessment?

Click here to view the speaker bios.

CLICK HERE TO REGISTER

CE credits pending approval.