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The Compliance Panel was a cornerstone session emphasizing the critical role of compliance as the foundation of financial services



 

The Compliance Panel at the 2024 Pinnacle Wealth Conference in Kelowna was a cornerstone session emphasizing the critical role of compliance as the foundation of financial services.


The panel’s objectives centered on Pinnacle’s commitment to navigating regulatory and client expectations seamlessly, ensuring adherence to industry standards and best practices. Discussions revolved around key areas essential for expediting and streamlining approval processes, emphasizing the importance of maintaining compliance rigorously to meet regulatory requirements effectively.


Panelists delved into the nuances of evidencing a Great Client Suitability Case, highlighting the meticulous approach necessary to demonstrate client suitability comprehensively and ethically. Additionally, insights were shared on strategies to secure marketing compliance approval successfully on the first attempt, underscoring the significance of aligning marketing practices with regulatory guidelines.


We extend sincere appreciation to all the panelists for their invaluable contributions to the Compliance Panel, shedding light on the intricacies of compliance in the financial realm. A special thank you to Darvin Zurfluh for his adept moderation, guiding the discussion with expertise and insight. We also express gratitude to the Dealing Representatives who actively participated, enriching the conversation with their perspectives and experiences. The Compliance Panel served as a beacon of knowledge, emphasizing the paramount importance of upholding compliance standards to safeguard client interests and maintain regulatory integrity in the financial services landscape.


 

Moderator

Darvin Zurfluh : CEO and Chairman


Panelists

Martin Theodore - Pinnacle Wealth : Head Office 

Deborah Workman - Pinnacle Wealth : Head Office 

Eric Couture - Pinnacle Wealth : Dealing Representative

Mark Samborski - Pinnacle Wealth : Dealing Representative 

Rob Anderson - Pinnacle Wealth : Dealing Representative

Cori Fitzsimonds - Pinnacle Wealth : Head Office


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