Wealth Compliance Leaders with Nancy Mehrad, CEO and Founder of Registrant Law

In today’s conversation, we met with Nancy Mehrad, CEO & Securities Lawyer of Registrant Law to review the CSA & CIRO’s examination findings regarding Conflicts of Interest as it relates to the Client Focused Reforms.
She provides best practices and controls firms can implement to improve their compliance and what firms with proprietary products need to focus on. She also discusses what's next from regulators on the CFR file.
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