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    Susan Wolburgh Jenah, Key Speaker for Registrant Regulation Summit

    Susan Wolburgh Jenah

    President and CEO,
    IIROC

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    Debra Foubert, Key Speaker for Registrant Regulation Summit

    Debra Foubert

    Director, Compliance and Registrant Regulation Branch,
    OSC

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    Joanne De Laurentiis, Key Speaker for Registrant Regulation Summit

    Joanne De Laurentiis

    President and CEO,
    IFIC

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    Ralph Gaston, Key Speaker for Registrant Regulation Summit

    Ralph Gaston

    Director Investigations,
    IIROC

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    Kevin Fine, Key Speaker for Registrant Regulation Summit

    Kevin Fine

    Director Derivatives Branch,
    OSC

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    Silu Modi, Key Speaker for Registrant Regulation Summit

    Silu Modi

    Vice President, Associate Director,
    Macquarie Banking and Financial Services

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Network with and receive guidance directly from regulators! Hear best practices from industry leaders.

  • Ongoing amendments to NI 31-103
  • CRM obligations
  • Emerging issues on EMD supervision
  • Compliance and social media
  • Fiduciary responsibilities

More...

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SPONSORS

  • Bronze Sponsor
    Ethidex, Bronze Sponsor for Registrant Regulation Summit
  • Bronze Sponsor
    Star Compliance, Bronze Sponsor for Registrant Regulation Summit

PARTNERS

  • Summit Partner
  • Summit Partner
  • Summit Partner
  • Summit Partner
  • Summit Partner
  • Summit Partner

TESTIMONIALS

Testimonial

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Speaker's Proposal

ABOUT THIS CONFERENCE: The Registrant Regulation Compliance Strategies Summit is a forum that provides the latest regulatory developments and best compliance strategies for dealers, advisors, fund managers, and portfolio managers. This senior-level conference was developed with the thoughtful input of industry leaders. In an exclusive setting, senior stakeholders connect with their peers to exchange best practices, build referrals, and enhance governance.

ABOUT STRATEGY INSTITUTE: Strategy Institute is proud to be a leader in delivering timely knowledge and best practices to the finance sector and business community for 15 years. We strive to strengthen the foundation of Canada’s legal and regulatory framework with annual conferences such us “Implementing Registration Reform,” “Compliance Readiness Strategies,” “The Evolving Role of the Registration Officer,” “Point of Sale for Mutual Funds,” “Compliance and Risk Management Strategies Summit for Portfolio Managers and Fund Managers,” and many more.