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 how firms plan to manage their proprietary and non-proprietary product shelf for significant changes.
Learn different approaches to considering reasonably available alternatives and documentation.
Discover the best way to mitigate complaints and why recordkeeping needs to be your top priority.
Get the details on the challenges firms face and what they are doing to solve it. Read the survey results.