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
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.
*** Cette session peut donner droit à des crédits CE ***
*Réduction pour les membres applicable, veuillez vous connecter.
Réservations
Les réservations sont fermées pour cet événement.
