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.
As Chief Regulatory Officer, Charyl is responsible for providing a unified view of regulatory and risk matters across the BMO’s Wealth businesses, helping to stay ahead of and strategically respond to the evolving environment and acting as a senior external representative of BMO on regulatory matters. Charyl’s deep knowledge of operations and risk, relationships across BMO, and understanding of clients’ evolving needs, makes her particularly well-suited to drive this important agenda for BMO’s Wealth businesses.
Ms. Galpin has a rich background in financial services. Joining Bank of Montreal in 1979 and spending her first seven years with the Retail and Corporate and Government Banking groups, Ms. Galpin moved to Burns Fry in 1986 where she embarked upon a series of operations roles. In 2000, she was appointed SVP and Managing Director, Head of National Operations, Private Client Group. In 2006, she was appointed Chief Operating Officer for PCD. In that role, she oversaw all operational and administrative functions and shared responsibility for developing and executing the overall strategy for full-service investing. In 2011, she was appointed as Co-Head of BMO Nesbitt Burns, Private Client Division and then in November 2014, she was made Head. Ms. Galpin serves as a Director of BMO Nesbitt Burns Inc., BMO Nesbitt Burns Holdings Corporation, BMO Life Insurance Company, BMO Life Assurance and BMO Estate Insurance Advisory Services Inc.
In addition to sitting on a number of internal Boards, Ms. Galpin is the past Chair and Director of the Lakeridge Health Foundation and past Trustee of the Lakeridge Health Corporation. She previously served as a Governor for Trinity College School and was recently appointed a Trustee. Ms. Galpin is a Director of the Children’s Aid Foundation and the Trinity College School Foundation and is a member of the Ontario Chapter Executive – Institute of Corporate Directors. Most Recently, Ms. Galpin was named Chair of the Investment Industry Association of Canada (IIAC).
Ms. Galpin is a Fellow of the Institute of Canadian Bankers and has received the ICD.D certification from the Institute of Corporate Directors. A graduate of the Advanced Management Program at the Harvard Business School, she was named one of Canada’s Top 100 Most Powerful Women of 2014 by the Women’s Executive Network (WXN). Ms. Galpin was named Champion of Change – Women in Capital Markets in 2016 and was named one of Diversity 50 2016 Board Candidates by the Canadian Board Diversity Council. Most recently she was awarded the Carole Tanenbaum Women of Action Business Award by the Israel Cancer Research Fund. She is also the Executive Sponsor of W.I.S.E. Canada, an employee resource group advocating for the support and advancement of women at BMO Financial Group.