The Good, the Bad, The Co$tly

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Presentation transcript:

The Good, the Bad, The Co$tly COMPLIANCE 2017 “The Future is Now” The Good, the Bad, The Co$tly Moderator: Gary Legault, Legault Compliance Consulting

The Good, The Bad, The Co$tly Panelists: Lorraine Bate-Boerop Monarch Wealth Corporation David Grad Primerica Financial Services (Canada) Ltd. Ken Parker Portfolio Strategies Corporation

How Are You Handling: 2016 Year End Statements Terms & Conditions on New Registrants Monitoring of Outside Activities Referrals KYC Updates Off Book Trades Proposed MFDA Policy 9 (Continuing Education) DSC Sales to Seniors Relationship with OBSI Significant Regulatory Change

2016 Year End Statements What dates did you use for performance? What challenges were there? Were changes costly? What feedback have you received?

Terms & Conditions on New Registrants Has the regulatory environment changed? What challenges are you experiencing? Have you changed your due diligence?

Monitoring Outside Activities Have regulatory expectations changed? How do you typically monitor? How do you specifically monitor Restricted Client Terms & Conditions?

Referrals Is demand for them increasing? Any compliance issues? Any administrative issues?

KYC Updates What is your current practice? What are regulators saying? Are you considering any changes?

Off Book Trades What is your current practice? What are regulators saying? Are you considering any changes?

Proposed MFDA Policy 9 (Continuing Education) What challenges are there? Will this require system enhancements? Will there be additional resource requirements and ongoing costs?

DSC Sales to Seniors What is your current policy? Are you experiencing any challenges? Do you foresee any changes?

Relationship with OBSI How is it these days? Are there any changes in their handling? Are files being resolved more quickly?

Significant Regulatory Change How are you coping? Have you added temporary or full time resources? Is early retirement looking better every day?

Q & A Do you have any questions? THANK YOU!