Compliance rules and business practices are the topics that we discussed during the breakfast meeting. In a full room, our three panelists presented the ruled imposed by the regulator and described the environment in which financial adviser are working todays as well as the challenges they are facing.
Amongst the topics discussed, we note the broker’s risk classification of shares in different level of risk and the impact of such a classification in the suitability assessment of an investment for the client. Few companies are aware of the risk level under which their shares have been classified. We also note the importance of increasing investors and advisers interest towards shares of Québec SMEs.
Numerous questions were asked which led to a dynamic conversation.
Thank you to our three panelist (Lina Barbusci, Martin Boulianne and François Têtu ) and to all of you who attended the breakfast.
Our next event is on January 19, 2017. More to come…