2021 OSC Update

2021 OSC Update

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Hosted By: Private Wealth Management Committee
Level:
Intermediate to advanced regulatory and compliance 
Format:
Online (Please note that all course times are Eastern Time)

Overview

  • Are your KYC and suitability practices in line with the OSC’s regulatory framework?
  • Are you aware of the Burden Reduction Initiatives impacting compliance and registration?
  • Are you up to date with the Client Focused Reforms?
  • Are your conflicts of interest, KYC, KYP and suitability practices in line with the Client Focused Reforms requirements? 

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.

Registration Deadline: January 26 - 11:59 PM
Please Note: Zoom login details will be sent 1-2 business days prior to the event date. Please remember to check your spam folder.

Details

  • When

  • Thursday, January 28, 2021
    1:00 PM - 2:30 PM
    Eastern Time

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