Regulatory changes are coming. Are you prepared?

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Major announcements are expected in Spring 2016. Be in the know to guide your firm accordingly.

Specially designed for executives involved in financial services regulation, this is Canada’s top event of the year!

EXCLUSIVE: Engage in Q&A with OSC, AMF, BCSC, and ASC

IN-DEPTH AND SPECIALIZED WORKSHOPS: Investment Fund/Portfolio Managers vs. Exempt Market Dealers

Get your answers on the spot, all in one place, at one time.

In a highly interactive setting, source insights and strategies to:

  • Protect your firm and minimize risks from cyber attacks
  • Guide your business should trailer fees be banned like in the UK
  • Remain compliant and avoid sanctions
  • Cross your t’s and dot your i’s with CRM2 implementation
  • Integrate robo-advisors while meeting your fiduciary duties
  • Foster a compliant culture to protect your investors and firm

Attend this prestigious event to hear the latest updates affecting your role and business.

Know your requirements and achieve compliance excellence!

Attending
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Speakers

Debra Foubert
Director Compliance and Registrant Regulation
Ontario Securities Commission
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Lynn Tsutsumi
Director Market Regulation
Alberta Securities Commission
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Rhonda Goldberg
Vice President Regulatory Affairs
IGM Financial
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Eric Adelson
Senior Vice President, Head of Legal
Invesco
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Sophie Jean
Director, Supervision of Intermediaries
AMF
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Richard Livesley
Director, Strategy and Planning Global Information and Technology Risk Management
BMO
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Michael Holder
Legal, Corporate and Compliance Group
BMO Financial Group
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Greg Romundt
President
Centurion Asset Management
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