Is Your Firm SRO-Ready?

By Broadridge

Learn how the merger of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada into the Canadian Investment Regulatory Organization presents a significant opportunity for firms to create client-centric journeys and tailor products for omnichannel distribution, resulting in cost savings and operational efficiencies. This panel explores how Canadian wealth leaders are looking at the opportunities and threats of convergence, consolidation and lifetime account relationships, and what it implies for operations, sales and channel experience.

Is Your Firm SRO-Ready?

Accreditation Details

Accreditation body
Competency
Credits

IIROC Cycle 9

Professional Development

--

Compliance

1.00

MFDA (2021-2023)

Professional Development

--

Business Conduct - Ethics

1.00

Business Conduct - Non-Ethics

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CIRO Cycle 10

Professional Development

--

Compliance

1.00

MFDA (2023-2025)

Business Conduct - Ethics

--

Business Conduct - Non-Ethics

1.00

Professional Development

--

Course Type:

Video

Passing Grade:

7/10 (70%)

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