MFDA Member Regulation Webcast

This webcast is presented by senior MFDA staff and is intended to provide guidance to Members on:

· Client Focused Reforms - Conflicts of Interest

Karen McGuinness, Senior Vice President, Member Regulation and Compliance will explain new conflicts of interest requirements that went into effect June 30, 2021 and discuss a coordinated regulatory review of conflicts by securities regulators.

· Continuing Education

Brett Konyu, Director Member Education and Membership Services will provide guidance and an update on the MFDA’s Continuing Education requirements that went into effect December 1, 2021.

· Trusted Contact Persons and Temporary Holds

Ian Strulovitch, Senior Legal Counsel & Director, Communications and Public Affairs will explain recent amendments to improve protection of older and vulnerable clients.

· Complaint Handling

Charles Toth, Vice President, Enforcement will provide guidance to MFDA Members based on recent trends observed by MFDA staff.

Please note that this webcast qualifies for 1.5 business conduct credits under the MFDA CE Program. Credits will be automatically updated on CERTS the month after the webcast has been viewed. To obtain these credits, Participants:

· Must enter their MFDA ID# on this registration page; and
· Must view the entire webcast.

After the end of the month in which you viewed the webcast, the number of credits you have taken will be automatically updated on CERTS. Upon registering for the Webcast, you will be emailed a link and password.

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