IIAC WEBINAR: KNOW-YOUR-CLIENT (KYC): EVOLVING THE RISK DISCUSSION
December 2, 2021
Regulators are spotlighting elements of Know-Your-Client (KYC) in the Client-Focused Reforms (CFR). While risk tolerance and risk capacity are not new concepts, they do raise a number of interesting questions when determining a client’s risk profile.
The IIAC invites you to join us for a webinar featuring:
Shawn Brayman, Director of Financial Planning Methodology, Morningstar;
Greg Davies, Head of Behavioural Finance, Oxford Risk;
Sean McGratten, Senior Director, Regulatory Management & Governance, RBC Wealth Management; and
Martin Springall, Manager, Policy and Governance, Raymond James, Ltd.
The panelists will address the impact of rule changes, how discussions with clients are evolving, and various ways firms and advisors can assess risk profiles, including:
Should firms rely on questionnaires? How can we assess their efficacy?
What role should the professional judgment of the advisor have in this process?
How can advisors incorporate information (or lack thereof) from outside holdings into their assessment?
IIROC and the IIAC will host a live virtual conference on Thursday, December 9, from 12:45 pm to 4:00 pm (ET) to discuss innovation in the Canadian investment industry. Andrew J. Kriegler, IIROC’s President and CEO will deliver the opening remarks.
Panelists will include:
Lise Estelle Brault, Senior Director Data, Fintech and Innovation, AMF; and Chair of the CSA Regulatory Sandbox Committee, AMF
Pat Chaukos, Director, Office of Economic Growth and Innovation, OSC
Jad Chehlawi, CEO, Telos Touch
Max Jarvie, Senior Associate, BLG
Scott MacKenzie, President & UDP, Fidelity Clearing Canada
Jack Mastromattei, Chief Operating Officer, Aligned Capital Partners
Zach Masum, Manager, Legal Services (Capital Markets Regulation) and Fintech & Innovation Team Leader, BCSC
Rob McLean, Senior Vice-President, Information Technology, Guardian Capital Group Limited
Laura Paglia, President and CEO, IIAC
Victoria Pinnington, Senior Vice-President, Market Regulation, IIROC
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