Given the scope of the Fintech changes and the CSA proposals on best interest standards, this year is not the time to fall behind your implementation schedule. From best interest standards to the reform on mutual fund fees, the upcoming regulations are likely to leave you no time to play catch-up.
Hear from the top regulators in the country and stay on top of your compliance process.
Designed for all categories of registrant, take back to your office strategies to:
Know your requirements and achieve compliance excellence!
Debra Foubert joined the OSC in October 2012 as the Director,
Compliance and Registrant Regulation Branch. Prior to joining the
OSC, Debra held the position of Associate Vice President,
Compliance for TD Bank Group (2007-2012) with Compliance
oversight responsibility for TDBG's investment management
businesses, including investment fund manager and Private Client
Group. In 2010, Debra was seconded to the OSC for a one-year
term as Director, Derivatives Branch. While at the OSC, Debra
and her team led the development of a framework for regulating
over-the-counter derivatives in Ontario which was incorporated
into the Ontario Securities Act through legislative amendments.
She obtained her B.B.A. from the University of Toledo in 1987
and a Juris Doctor from the University of Toledo College of Law in