Client-focused reforms: What you need to know about the June 2021 deadline

By Investment Executive with CE Corner

Daniel Kratochvil, chief compliance officer with Agora Dealer Services Corp., explains what dealers and advisors need to understand about the client-focused reforms — the largest regime change since CRM2. In this video, he expands on the conflicts of interest phase of the reforms, which came into effect on June 30.

Client-focused reforms: What you need to know about the June 2021 deadline

Accreditation Details

Accreditation body
Competency
Credits

IIROC Cycle 8

Compliance

0.75

Professional Development

--

Course Type:

Video

Passing Grade:

10/12 (83%)

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  • FI (FINANCE ET INVESTMENT)
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