Client Focused Reforms (CFRs):
Everything you need to know about the new conflicts of interest requirements
(but were afraid to ask)
Speakers: Jennie Baek, Leila Rafi and Moderator Michael Burns
May 6, 2021: Agenda
Event Time: 2:00 pm - 3:00 pm (ET)
The June 30, 2021 deadline for registered firms and their representatives to comply with the first phase of the CFRs relating to conflicts of interest is fast approaching.
The new conflicts of interest requirements will require registrants to review and, where necessary, implement changes to their existing conflicts of interest policies and procedures. They may also require certain changes to the existing businesses or business relationships of registrants if these activities constitute material conflicts of interest including, but not limited to, referral arrangements and trading in, recommending or distributing proprietary products. Registrants who have not yet started assessing the impact of these new requirements should start the process now and attend this webinar to gather additional information.
Join McMillan for a panel discussion on practical questions and issues related to the new requirements and how they may impact your organization.
- Overview of the new conflicts of interest requirements
- Key issues and practical tips to assist with compliance
CPD: This program is pending approval for CPD hours.
- Jennie Baek, Partner, Investment Funds and Asset Management, McMillan LLP
- Leila Rafi, Partner, Investment Funds and Asset Management, McMillan LLP
- Moderator: Michael Burns, Partner, Investment Funds and Asset Management, McMillan LLP