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Early Bird (Before May 4) - $35
In Private Client Investment Management everyone asks themselves:
As the industry changes make sure you are at the top of your game. Come and hear from OSC staff (before your next OSC review) and gain some helpful insight into topical issues.
Overview of OSC’s 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers (OSC Staff Notice 33-747)
OSC staff will provide a high level overview of its 2016 annual summary report for registrants, with a focus on key issues relating to advisers (portfolio managers) and associated regulatory concerns. There will be discussion of common portfolio manager deficiencies noted during compliance reviews and ongoing OSC initiatives that impact advisers. Topics include vulnerable investors, ‘one person’ firms and business continuity/succession planning, suggested best practices for updating of Know Your Client (KYC) information, incomplete or non-delivered client account statements and online advisers.
Staff from the Registrant Conduct team will describe the process for taking regulatory action and possible outcomes, including the ‘Opportunity to be Heard’ process. Staff will discuss recent Commission decisions dealing with topics including KYC and suitability obligations, the appropriate use of marketing materials and identifying and managing conflicts of interest.
SPEAKER(S) & Company Name
Daniel Panici, CPA, CA
WHO SHOULD ATTEND
Advising representatives, chief compliance officers, ultimate designated persons of portfolio manager firms as well as individuals responsible for the collection of KYC information and those performing suitability reviews on clients’ investments.
This event is aimed for Fixed income investors, Broker-Dealers, Treasury professionals.
Society Member Discounts