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Jumpstart Your Client Focused Reforms Journey.

On November 24, InvestorCOM hosted an IIROC workshop for  compliance leaders from 17 leading wealth firms to take a deeper look at the CFR obligations and explore implementation opportunities surrounding the new KYP obligations for dealers and advisors.  

Find out what firms are doing to prepare their advisors and dealers for the upcoming CFR regulation. 

>> READ THE IIROC WORKSHOP INSIGHTS NOW

 

What you'll learn

DEALER KYP OBLIGATION

Read how firms plan to manage their proprietary and non-proprietary product shelf for significant changes.

ENHANCED KYP & SUITABILITY

Learn different approaches to considering reasonably available alternatives and documentation. 

PUT THE CLIENT'S INTEREST FIRST

Discover the best way to mitigate complaints and why recordkeeping needs to be your top priority.

INDUSTRY STATS

Get the details on the challenges firms face and what they are doing to solve it.  Read the survey results.

"56% of firms are examining technology vendors to assist with their KYP obligations."


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Insight from InvestorCOM's Client Focused Reforms IIROC Workshop

Download the IIROC CFR Workshop Insights

 

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