Regulatory changes are coming. Are you prepared?

Lead in bold font.

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!

View agenda
Request Updates
Download Brochure



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

Event takes place in...

0 0 0
0 0
0 0
0 0

Download Full Brochure

  • This field is for validation purposes and should be left unchanged.

Get Involved

Become a Sponsor

If you want to demonstrate your firm’s thought leadership and connect with Compliance Officers and regulators, find out how our event can help you meet your objectives!


Become a Partner

If you are an association, blog, website and/or publication addressing regulatory issues in financial services, we can help you deliver more value to your members/audience. Find out the benefits to becoming a media partner today!


Become a Speaker

If you want to share a success story and raise your personal profile, get in touch. Find out more on the benefits to speaking and send a submission!