This one-day Osgoode Professional Development program, Legal Risk Management
in Retail Investment, was developed to examine current legal challenges in retail
investment, specifically, the techniques and strategies that can minimize potential
risk, how best to handle client complaints, and practices around client compensation.
You’ll also hear from the Director of Enforcement at the OSC, Tom Atkinson on“Changing Behaviour Through Enforcement Strategy”. Other topics include:
- Increased regulator activity - the latest on disciplinary proceedings against
investment professionals, portfolio managers and investment counsel
- What makes holding/buying/selling securities unsuitable in a down market?
- Client complaint handling policies being rolled out by MFDA, IIROC and CSA
Also, a special “Know Your Product” session will cover the managed products and
alternative investments which present the greatest source of risk, the necessary due
diligence before products are offered for sale, the training which should be provided to
advisors, product suitability and the sufficiency of disclosure provided to retail clients.
You’ll come away from this program with a greater understanding of current regulatory
enforcement activity, trends in retail broker civil litigation, a clearer understanding of
the different client complaint handling policies being rolled out, and an update on the
mechanisms which exist for clients to seek compensation.
This is a rare opportunity to get informed and learn from the experts in this area. Don’t miss it. |
