Welcome and Opening Remarks
Speaker:
- Mark Gordon – President and CEO (MFDA)
The New Retirement Reality – Advising Seniors
Speaker:
- Michael Finke – Professor and Frank M. Engle Chair in Economic Security (The American College of Financial Services)
Seniors Initiatives from FINRA
Speaker:
- Jim Wrona – Vice-President and Associate General Counsel (Financial Industry Regulatory Authority – FINRA)
Member Best Practices and MFDA Guidance on Protecting Seniors and Vulnerable Investors – Temporary Holds and Trusted Contact Persons
Speakers:
- Ian Strulovitch – Director, Public Affairs (MFDA)
- Danielle Tétrault – Vice-President, Compliance and Chief Compliance Officer (Investors Group Financial Services Inc.)
- Paige Wadden – Head of Compliance (Worldsource Wealth Management)
MFDA Regulatory Approach / Member Supervisory approach to Handling Seniors Issues
Moderator:
- Brett Konyu – Manager, Member Education (MFDA)
Speakers:
- Matthew Brady – Managing Director, Compliance (MFDA)
- Charles Toth – Managing Director, Litigation (MFDA)
- Lesley Duffy – Chief Compliance Officer, (Quadrus Investment Services Ltd.)
- Cheryl Hamilton – Vice President Risk Management, Chief Compliance Officer (HUB Capital Inc.)
Seniors Initiatives from SEC
Speaker:
- Lori Schock – Director, Office of Investor Education and Advocacy (U.S. Securities and Exchange Commission)
Effective Communication Skills for Senior Clients
Speaker:
- Dr. Carole Cohen – Geriatric Psychiatrist (Sunnybrook Health Sciences Centre)
