“Getting out of Dodge is not the Answer” By Ellen Bessner and Aaron Gold BABIN BESSNER SPRY LLP

When faced with an investigation or hearing an advisor’s first instinct may be to leave the industry or be uncooperative when in fact these actions usually result in more severe penalties. Ellen and Aaron use real-life examples to paint a cautionary tale.

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“Sanctions Ordered by SROs Facing Increased Scrutiny from Regulators” By Aaron Gold and Ellen Bessner BABIN BESSNER SPRY LLP

Aaron and Ellen outline real-life examples that suggest that provincial securities regulators may be increasing their willingness to interfere with and replace sanctions imposed by Self-Regulatory Organizations (SROs). It is in their power to do so, however, traditionally has been reserved for exceptional cases.

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“Serving Fewer Clients Can Lead to a Big Payoff” By Ellen Bessner BABIN BESSNER SPRY LLP

Feeling overwhelmed with advisor obligations? Many advisors are. Ellen suggests that one of the ways for advisors to protect their licence, is by reducing the number of clients in their book of business and instead focus on their target market to grow the assets of those clients. In other words, do a better job with fewer, larger clients.

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The ACCP recently made a donation to the Canadian Red Cross in support of humanitarian efforts for needy and displaced families and individuals as result of the ongoing conflict and tensions in the Ukraine. As an organization, with members across Canada, the ACCP is deeply concerned about the human impacts this crisis is having on those located in the Ukraine and neighbouring countries as well as our ACCP members and their loved ones. We would like to offer our sincere support to all those affected.

“6-Part CFR Series: Preparing For The Client-Focused Reforms” – Susan Silma

Don’t miss out! Susan’s 6-part CFR series tackles multiple areas of client focused reforms, from KYP to KYC, working with vulnerable clients, evidencing compliance and how the new regulations can help advisors build stronger relationships with clients.

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“Grow Your Business Using the CFRs” By Ellen Bessner BABIN BESSNER SPRY LLP

A fresh look at client focused reforms, Ellen encourages advisors to embrace the new rules, and not miss out on business growth possibilities and opportunities to improve their client relationships.

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2021 MFDA Member Regulation Webcast – Available until: December 1, 2023

CE Credits: 1.5 Business Conduct Credit
Language: English

Description: Provides guidance to Members on: Client Focused Reforms – Conflicts of Interest, Continuing Education, Trusted Contact Persons and Temporary Holds, and Complaint Handling

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The ACCP recently made a $4000 donation to Food Banks Canada, and a $1000 donation to the Canadian Red Cross in an offering of support for those most in need during COVID-19. With members across Canada, the ACCP is an organization of Canadian compliance professionals and a community of engaged and concerned citizens. We have all experienced the impacts of this pandemic and would like to extend our heartfelt gratitude to our health care workers and non-profit organizations for their tireless work assisting our most vulnerable during this crisis. We are proud to join relief efforts by supporting two very special causes like Food Banks Canada, and the Canadian Red Cross. As Canadians we are strong and will continue to come together for one another as this pandemic evolves.

“Balancing compliance with the client experience” – Susan Silma

There are various steps advisors can take to ensure a positive client experience while still being compliant. While some advisors believe that regulations and compliance interferes or hinders the advisor-client relationship, Susan outlines how to find balance and even leverage compliance in an advisor’s practice.

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