Recent CRM2 implementation represents significant regulatory reforms to enhance advisor/ client relationship. It aims to improve transparency via disclosure of fees, account performance, strengthening suitability & prevent conflicts of interest.
Do you think enough has been done to protect consumer?
What are some of the improved protection provided by the new system?
What are some of the possible negative “unintended consequences”?
Not more than 8 pages
Part II Social Media
Review IIROC “Social Media “guidelines. In no more than 10 slides, prepare a presentation to your Chief Compliance Officer actions that needs to be taken to ensure compliance
 
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