Date: Wednesday, May 12th, 2021
Time: 2:00 pm – 3:00 pm ET
Join us for an informative webinar regarding recent IIROC enforcement rule developments and emerging trends: there will be discussion on terms of complaints, items being elevated to enforcement actions for advisors and dealers, and more.
Charles Corlett, Vice-President of Enforcement at IIROC, will highlight changes to enforcement-related rules including the Notice of Withdrawal for the previously proposed Alternative Forms of Disciplinary Action, the new Staff Policy Statement on Early Resolution Offers, and other potential upcoming amendments that members should be aware of.
Panelists John Fabello, Co-Lead of Torys’ Securities Litigation practice, and Valerie Quintal, Senior Counsel & Vice-President of Legal and Regulatory Compliance at BMO, will compare what is being elevated to enforcement actions with what IIROC is prioritizing, and discuss trends they are seeing in terms of client complaints. For example, are OEO service complaints being elevated to regulatory infractions? Suitability complaints continue to be the main driver of client complaints, but are there specific sectors or products driving these complaints?
Members may send questions in advance to Gill O’Mahony. There will also be a live Q&A during the webinar.
Click here to view the bios for Charles, John, and Valerie.
To register for the webinar, click here.