Speaking Engagements

Nancy Mehrad is speaking at the Investment Industry Association of Canada (IIAC) webinar on the Client Focused Reforms and know-your-product (KYP) obligations on February 24, 2022, from 2:00 pm – 3:00 pm ET.   

Enhanced know-your-product (KYP) requirements of the client focused reforms put the spotlight on firm and advisor knowledge.  Learn more about KYP obligations for advisors and registered firms, tools and automated processes to support the new requirements, training support, and next steps. 

For more details and to register, click here. 

Nancy Mehrad is speaking at InvestorCOM's webinar on the Client Focused Reforms and the know-your-product (KYP) obligations on February 17, 2022, at 1:00 pm ET.

Topics to be discussed:

• What to expect from the regulators with respect to the upcoming CFR “sweep” 
• Risks and challenges facing dealers and advisors by taking a manual approach to the KYP requirement 
• Strategic opportunities when implementing KYP technology

For more details and to register, click here.

Nancy Mehrad is speaking at PMAC's webinar on the OSC's 2022 Risk Assessment Questionnaire on May 17, 2022 from 11:00 AM – 12:00 PM ET.

The Ontario Securities Commission (OSC) issued the Risk Assessment Questionnaire (RAQ) for 2022 on Wednesday, May 4. On Tuesday, May 17 at 11 AM ET, PMAC members were invited to join a 1-hour Zoom call with PMAC and Nancy Mehrad, Founder & CEO of Registrant Law, for an overview of the RAQ, a discussion on best practices, and Q&A. Afterward, PMAC forwarded questions about the RAQ to OSC staff on a no-names basis, and the responses were circulated to all registered attendees.  PMAC members may access the recording, materials and list of responses on the PMAC website: https://pmac.org/pmac-discussion-osc-2022-risk-assessment-questionnaire/

Nancy Mehrad is speaking at InvestorCOM's webinar on Navigating CIRO Exam Priorities and Focus Areas on April 10, 2024 at 1:00 PM ET.

On March 12, 2024, the Canadian Investment Regulatory Organization (CIRO) revealed its exam priorities for the year. These priorities shed light on the focus areas for upcoming exams across all dealers, particularly emphasizing the second phase of the client-focused reforms (CFRs). 

In collaboration with the Canadian Securities Administrators, CIRO’s examinations will delve into registrants’ compliance with various CFR obligations, including Know Your Client, Know Your Product, and the enhanced suitability determination requirements implemented on December 31, 2021. To sign-up for the webinar, click here: https://investorcom.com/navigating-ciro-exam-priorities-and-focus-areas/