The Financial Services Regulatory Authority of Ontario will hold a full-day Principal Broker Conference on November 23, 2026, focused on strengthening brokerage compliance, supervision and consumer protection practices. The event is intended for brokerage owners, principal brokers, chief compliance officers and other senior brokerage leaders. The program will address leadership approaches to regulatory compliance and client-specific consumer outcomes, include AML compliance insights from FINTRAC and provide opportunities to exchange supervisory best practices. Attendees can earn four continuing education hours, and each brokerage may send up to two representatives.
2026-08-31Financial Services Regulatory Authority of Ontario
Financial Services Regulatory Authority of Ontario schedules principal broker compliance conference for November 23
The Financial Services Regulatory Authority of Ontario will hold a Principal Broker Conference on November 23, 2026, covering brokerage compliance, supervision and consumer protection. The program includes FINTRAC insights on AML compliance and offers four continuing education hours, with attendance limited to two representatives per brokerage.