Webcast Catalogue

Technology has enabled greater access to financial markets for retail investors. This session explores the evolution, current state, and future trends of self-directed investing and order execution-only platforms. The panel discusses the challenges and opportunities presented by the rise of online...

This session provides an overview of the evolution of crypto assets and related infrastructure in Canada as well as an overview of the current regulatory framework. The panel explores some of the challenges faced by the industry, including the impact of the broader financial industry’s reluctance to...

In this webcast, David Wright, Senior Counsel, Business Conduct Compliance, and Jeffrey Yewer, Senior Manager, Business Conduct Compliance, will discuss advisor ranking contests in a conversation moderated by Iris Titov, Member Education Consultant. The discussion provides an overview of the rules...

In this webcast, Lisa Caputo and Sasha Latka, Managers, Business Conduct Compliance will provide an overview of the amendments to the conflicts of interest requirements in the Client Focused Reforms that came into force on June 30, 2021.  They will also summarize the recent joint regulatory sweep of...