With new updates from the CSA, an emphasis on compliant sales practices and harmonization between financial planning and securities regulations means you must adapt quickly.
Engage in special Q & A sessions with the main regulators in the country to update your compliance process.
The strategic business importance of your compliance function is growing significantly! Find out what this change as a key influencer in business decisions will mean for your future career.
Designed for investment funds, portfolio managers and EMDs, gain insights on:
Know the requirements, enhanced regulatory expectations, understand what is coming next, and achieve compliance excellence!
Goshka Folda serves as President and CEO, Investor Economics and Global Head of Research at Strategic Insight (SI), where she leads research initiatives for a wide variety of product and distribution topics. Her areas of focus include the household balance sheet, investment funds industry and financial services industry distribution models, with particular focus on the bank-owned delivery channels. SI provides critical and proprietary data, business intelligence, research and marketing services to the global asset management community.
Ms. Folda has long served the Canadian financial services industry at Investor Economics, a premier Toronto-based research and consulting firm that SI acquired in 2015. Respected as an industry expert, her opinions are frequently quoted in the media and sought after by executives, associates and regulators. Prior to her association with Investor Economics, Ms. Folda was an economist and strategic planning analyst with a major Canadian financial institution. Her broad experience also includes associate research work for a major Italian bank with worldwide interests, with a specialization in international finance.
Ms. Folda graduated with distinction from the Warsaw School of Economics’ Master’s Program in her native Poland and holds a Baccalaureate designation from the prestigious Lester B. Pearson College of the Pacific in Victoria, British Columbia. She is fluent in four languages and has particular knowledge of the various languages and cultures of Eastern Europe. In her spare time, she is an accomplished flamenco performer.
David Tittsworth is a counsel in Ropes & Gray’s investment management practice in Washington, D.C. He provides information and advice to clients on the ever-changing regulatory and legislative landscape for asset management firms. Prior to joining the firm, David was president and CEO of the Investment Adviser Association (IAA) for 18 years. In this position, David advocated on behalf of the investment advisory profession on numerous legislative, regulatory, compliance, and policy issues. Before his long tenure with the IAA, David worked in various positions on Capitol Hill, including serving as Counsel to the House Energy & Commerce Committee chaired by Rep. John Dingell.
As the BCSC’s Manager, Legal Services, Capital Markets Regulation, Zach manages a team of lawyers and professionals working on a wide variety of matters including registration matters; marketplace, exchange and trading issues; SRO oversight (including IIROC and MFDA); conduct of dealers, advisers and investment fund managers; and other issues impacting capital markets. Zach also leads BCSC’s Tech Team, which is involved in fintech support, outreach and analysis. The Tech Team handles a broad spectrum of fintech and regtech matters including crypto-assets, robo-advising, crowdfinancing, AI/machine learning and other technology-focused business models. Zach obtained his JD and MBA degrees from the University of Toronto and has worked in private practice, in-house counsel and regulatory settings.
Brian is the President, Chief Compliance Officer and General Counsel of Pinnacle Wealth Brokers Inc. Brian is licensed to practice law in the Provinces of Alberta and Ontario. Prior to July 2015, Brian was a Partner at the law firm of Cassels Brock & Blackwell LLP located in Toronto, Ontario specializing in corporate and securities law with an emphasis on private and public corporate financing transactions, investment funds and securities regulatory compliance matters. Brian was a member of the Ontario Securities Commission’s Exempt Market Advisory Committee and is a current member of the Alberta Securities Commission’s Exempt Market Dealer Advisory Committee. Brian is also the current Vice Chair (and former Chair) of the Private Capital Markets Association of Canada. Brian obtained his Bachelor of Arts (Honours) in 1987 and Master of Arts (Judicial Administration) in 1988 from Brock University, his LL.B. in 1997 from the University of Windsor Faculty of Law, his J.D. in 1997 from the University of Detroit Mercy School of Law and his LL.M. (Securities) in 2005 from Osgoode Hall Law School.