The CSA made significant amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and the Companion Policy. These amendments were adopted by IIROC and the MFDA (now jointly CIRO). This is an excerpt from a (nearly) 30-minute Compliance Training video created by our firm to support the Wealth Management group to inform their registrants and employees about the changes. This video focuses on a Private Banking Client who uses Portfolio Managers and Associate Portfolio Managers (registered as Advising Representatives (AR) and Associate Advising Representatives (AAR) in NRD) but the video can be adapted to IIROC and MFDA firms. This video is accredited by IIROC for Continuing Education Credits.
Designer @amylloyd
Videographer/Audio/Animation/Music @douglenz
Voice Actor @jordanschwartz
Writer/Regulatory Review/Director @kerrisalata
*This video and these images cannot be copied or reproduced without express permission of Kerri A. Salata, Legal Professional Corporation. This is not legal advice.