La description

Date : 11/27/2023

Petit-déjeuner et inscription :: 8 h 30

Début: 9 h

End Time: 10 h 30

Endroit: Bureau de Toronto de l'ACCVM, 100, rue Wellington Ouest, bureau 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

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.

*** Cette session peut donner droit à des crédits CE ***

*Réduction pour les membres applicable, veuillez vous connecter. 

Réservations