1. 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

2. 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

3. 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

4. 2016 Year End Statements What dates did you use for performance?
What challenges were there?
Were changes costly?
What feedback have you received?

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

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

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

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

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

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

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

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

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

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