Date: Thursday, April 11, 2019
Time: 2:15 PM to 4:15 PM (Networking Reception to follow)
Location: Fairmont Palliser, Calgary, AB. This will be available by webcast for those outside of Calgary.
Ellen Bessner, Partner – Babin Bessner Spry LLP, a leader in commercial and securities litigation, will address the risks and challenges that portfolio management professionals face in today’s ever-changing regulatory landscape and ultimately in taking care of their clients.
Ellen will impart practical tips and take-aways on how to manage the complexities of KYC, and Suitability requirements while focusing on how the core obligations of helping your clients achieve their personal investment objectives as a fiduciary. Challenging topics such as working with seniors with diminished capacity will be covered. This session will provide valuable insight on how to mitigate risks, the importance of documentation and how to avoid consequences that may harm your clients and/or damage your firm’s reputation.
This session is designed to assist client facing portfolio managers to manage the risks of this growing and unique demographic.