The MFDA’s Strategic Plan identifies certain key initiatives to enhance advisor proficiency and strengthen the advisory process with a goal to protect and serve investors. The MFDA hosted its second Seniors Summit on October 29, 2015 which was organized to provide Members and their advisors with practical advice on dealing with the issues and challenges they will face when dealing with senior clients.
Below is a list of sessions with links to presenter webcasts.
Welcome and Introduction
The Aging Canadian Demographic
Goshka Folda, President and CEO – Investor Economics
Medico–Legal Issues in Servicing Senior Clients
FINRA and Seniors’ Issues – An overview of FINRA’s senior related activities and highlights from the FINRA/SEC National Senior Investor Initiative Report
Dan Sibears, Executive Vice-President, Regulatory Operations/Shared Services – Financial Industry Regulatory Authority
Advising During Retirement – The Depletion Phase
Facing Elder Financial Abuse – Effective Compliance Program for Seniors
Ron Long, Director of Regulatory Affairs and Elder Client Initiatives – Wells Fargo Advisors, LLC
Compliance Panel Case Study
Mark Stott – Moderator
Tim Pryor, Vice-President, Legal – Mackenzie Financial Corporation
Danielle Tétrault, Assistant Vice-President, Compliance Investigations – Investors Group Financial Services Inc.
Manny DaSilva, President & Chief Compliance Officer – Canfin Magellan Investments Inc.
Terry Moore, Senior Counsel – CIBC
Please note that parts of some sessions have not been recorded or reproduced.