New Webcast: Client Focused Reforms: Conflicts of Interest & Joint Sweep CSA/CIRO Report

In this webcast, Lisa Caputo and Sasha Latka, Managers, Business Conduct Compliance will provide an overview of the amendments to the conflicts of interest requirements in the Client Focused Reforms that came into force on June 30, 2021.  They will also summarize the recent joint regulatory sweep of firms’ conflicts of interest practices that was conducted by the CSA, IIROC, and the MFDA and the resulting joint Staff Notice 31-363 published by the CSA and CIRO to summarize the findings and provide additional guidance to registrants. 

Please note that this webcast is part of the 2024 Compliance Credit webcast that was released earlier this year as one of the two mandatory compliance credits for the MFD CE Program for the 2023-2025 cycle.  As such, MFD CE Program Participants who are required to complete the 2024 Compliance Credit can only receive credit for the 2024 Compliance Credit webcast and will not obtain additional credit for this separate webcast.

There will be 0.5 Compliance continuing education credits available under the Investment Dealer (formerly IIROC) CE program.

Register for the webcast.

View CIRO's full list of CE accredited webcasts.