Protect and Grow Your Business with the CFRs

By Investment Executive with CE Corner

Learn how to meet your enhanced obligations under the client-focused reforms.

 

"These changes are good to protect both clients and advisors,” says litigator Ellen Bessner of Babin Bessner Spry LLP.

This video is packed with Bessner’s practical tips, using real client examples, to help you transform your KYC process from ordinary to engaging. Bessner explains the reforms’ enhanced know-your-client (KYC) requirements, presenting them as an opportunity to protect and grow your business. You will learn how to approach clients as a relationship manager so you can communicate with them meaningfully to fulfil your KYC obligations, including the new requirements of risk profile, trusted contact persons, need for supporting documentation and mandatory updates.

Ellen Bessner is a commercial litigator with over 25 years of practice at prominent Canadian firms, and now with Babin Bessner Spry LLP. Her expertise is representing securities dealers and advisors in regulatory (IIROC, MFDA, OSC and FSRA as well as certification body FP Canada), employment and commercial litigation disputes across Canada.

Bessner is the author of the bestselling book Advisor at Risk: A Roadmap to Protecting Your Business and the sequel Communication Risk: How to Bridge the Client-Advisor Gap to Protect and Grow Your Business — risk management tools for professionals in the financial services industry. She is an expert speaker and a regular contributor to national, business and industry press.

Bessner was appointed to the Ontario Securities Commission’s Seniors Expert Advisory Committee, co-authored a paper on risk profiling commissioned by the OSC’s Investor Advisory Panel and is a panel member for enforcement proceedings for the Certified Professional Accountants of Ontario.

Protect and Grow Your Business with the CFRs

Accreditation Details

Accreditation body
Competency
Credits

FP Canada

Financial Planning

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Practice Management Credits

1.00

Product Knowledge Credits

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Professional Responsibility Credits

--

FP Canada for MFDA

Business Conduct

1.00

Professional Development

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IIROC Cycle 9

Compliance

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Professional Development

1.00

Course Type:

Video

Passing Grade:

10/13 (77%)

Categories:

Brought to you by:

  • ADVISOR'S EDGE
  • CONSEILLER
  • IE (Investment Executive)
  • FI (FINANCE ET INVESTMENT)
  • CANADIAN INDERWRITER