During Investor Education Month, FCNB is hosting webinars on Oct. 27 in French and on Oct. 28 in English to help investment professionals understand their regulatory requirements.
Jason Alcorn, Senior Legal Counsel in the Commission’s Securities Division, will host the webinars and will focus upon hot topics in securities regulation including:
- reforms by the Canadian Securities Administrators to enhance the client-registrant relationship (client focused reforms);
- the prohibition of deferred sales charges for investment funds and the prohibition of mutual fund trailing commissions where no suitability determination is required; and
- the recent Consultation Paper on the Self-Regulatory Organization Framework by the Canadian Securities Administrators.
The webinar may qualify for education credits from your professional organization.