Upcoming Events
Automating and Standardizing Risk Ratings for CRM Enhanced Suitability Requirements
IIAC Member Only EventDate: Tuesday, February 28th, 2012
Time: 2:30p.m. to 3:00 p.m. (EST) Registration, Networking and Refreshments. 3:00p.m. (EST) Seminar
Preparing for Enhanced Suitability Requirements
An automated approach and standardized risk ratings are not expected to be mandated for meeting the CRM’s enhanced suitability requirements. For firms with large client bases and for other firms looking for a systems-based solution, there are challenges and opportunities to automation and standardization. Join an interactive roundtable of interested members, with context provided by IIROC’s Richard Corner.
The presentation and roundtable will include:
Speaker: Richard J. Corner, Vice-President, Member Regulation Policy, Investment Industry Regulatory Organization of Canada
Speaker: TBD
Lead: Sandy Martin, CCO and Senior Vice-President of Compliance, Raymond James Ltd.
Lead: Kim Maggiacomo, President and Founder of Compliance Alliance Inc.
Location: Fasken Martineau DuMoulin LLP
333 Bay Street, Suite 2400, Adelaide Centre, Toronto, Ontario
Fee: $65 for IIAC members. For IIAC members outside of Toronto, we invite you to attend by phone. Dial in service: $40 (IIAC members only). Call details via registration.
This seminar may be eligible for CE credits.
To register, please click here.
Other events
Investing Today
Investing Today is the name of an 8 page section developed by IIAC and appearing on the first Monday of every month in the National Post.
Each issue explores one theme as it relates to three different kinds of investors: novice, intermediate and advanced.
