Affleck Greene McMurtry LLP partner Chris Somerville will speak at an InvestorCOM webinar on January 28, 2026, addressing compliance challenges arising from the Client Focused Reforms.
The session, "Bridging the Compliance Gap: Meeting Regulator Expectations Under CFRs," responds to the recently published Joint CSA/CIRO Staff Notice 31-368, which flagged persistent gaps in how firms are implementing Know Your Product (KYP) requirements and assessing a Reasonable Range of Alternatives. The Notice summarized findings from compliance reviews of 105 registered firms and outlined heightened expectations around documentation and oversight.
Chris will join other regulatory experts in a practical discussion designed to help firms benchmark their KYP processes and demonstrate defensibility. His involvement continues a focus on Client Focused Reforms compliance and securities regulatory matters. Chris previously spoke at a CIRO seminar on enforcement trends following the regulator's consolidation, and regularly represents investment dealers and advisors before the Ontario Securities Commission and Canadian Investment Regulatory Organization.
Webinar Details
- Date: January 28, 2026, 1:00 p.m. ET
- Registration: InvestorCOM