June 2, 2021

Meeting Details

Date: Wednesday, June 2, 2021
Time: 2:30 PM EDT / 11:30 AM PDT
Law Firm Host: Borden Ladner Gervais LLP
Location: Live webcast (Registration Required)

Meeting Materials

Agenda– June 2, 2021

Summary of previous meeting – April 14, 2021

CON Q&A – June 2021


Presentations and Presenters – Materials will be distributed once available

Law Firm Host: Borden Ladner Gervais LLP

BLG’s Views on the Top 10 To-Dos for Overstretched and Remote Compliance Professionals

Join us for an exciting plenary session, moderated by Rebecca Cowdery and featuring:

  1. Michael Taylor: Final tips on reaching the Conflict of Interest (COI) finish line
  2. Richard Roskies: Reviewing NAAF, IPS, policies & procedures for Client Focused Reforms KYC updates and Suitability
  3. Matt Williams: Reviewing use of titles under CFRs
  4. James Fu: An employment lawyer’s perspective on titles
  5. Michael Taylor: KYP tips
  6. Matt Williams: Updating Relationship Disclosure Information (RDI)
  7. Jason Brooks: Amendments for Trusted Contact Persons (TCPs) and temporary holds – what do to now and what BLG recommends
  8. Paul Taylor: An estate lawyer’s perspective on TCPs, temporary holds, privacy and Powers of Attorney issues
  9. Chris Tooley: Changes to Anti-Money Laundering and Anti-Terrorist Financing (AML) laws
  10. Full ensemble: Tips for keeping going remotely and virtually