How Firms are Implementing CFR Requirements

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Morningstar Canada

About this talk

By the end of this year, advisory firms must comply with the principles-based guidelines around KYC, KYP, and suitability. The deadline to implement these regulator-mandated client focused reforms is fast approaching, and firms must adopt new processes and technologies to ensure adherence. How are they doing it? Join us for the second Morningstar Executive Forum of 2021, as we discuss the challenges and opportunities that firms must navigate. Panelists: Sarah Asals, Compliance Manager, MFDA Anthony Giglio, VP, Wealth CFR Transformation, TD Wealth John O'Donnell, Compliance Manager, MFDA Susan Silma, Head, Risk and Regulatory Practices, Sun Life Financial Investment Services Moderator: Ian Tam, Director of Investment Research, Morningstar Canada
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