KYC and suitability obligations (Session A: Webinar)

Dec 11, 2013
02:00 pm  -  04:00 pm
Online webinar
Event Details

This seminar will provide an overview of the know your client (KYC) and suitability requirements for registrants under National Instrument 31-103Registration Requirements, Exemptions and Ongoing Registrant Obligations. We will also discuss the results of our recent targeted review of registrants to assess their compliance with the KYC, know your product (KYP) and suitability obligations and provide guidance to registrants on best practices in these areas.

Who should attend:

Individuals responsible for the collection of KYC information and performing suitability reviews on clients’ investments.

Benefits:

  • Understanding of the common deficiencies related to KYC, KYP and suitability obligations
  • Hear from OSC staff on best practices in these areas

Presentation slides:

Slides: Know-your-client and Suitability Obligations

Event Image
osc webinar