With new updates from the CSA rapidly changing the playing field, you must be prepared, know the requirements and adapt quickly to achieve compliance excellence!
This event is designed to help investment funds, portfolio managers and EMDs chart the path forward on compliance strategies and implementation.
We’re hard at work making sure the 2020 event will be our best yet! Stay tuned by requesting updates on the latest speakers and topics up for discussion
William Doneganis Chief Compliance Officer – Advisory Services at Manulife Financial and is responsible for securities and insurance sales compliance in Canada. Prior to joining Manulife Financial, William served as Chief Compliance Officer at Scotia Securities Inc. a member of the Scotiabank Group. Scotia Securities Inc. distributes mutual fund products through the Scotiabank branch network. Other previously held positions include: Chief Legal and Regulatory Officer, Worldsource Wealth Management, Enforcement Counsel, Mutual Fund Dealers Association of Canada and Discipline Counsel, Law Society of Upper Canada. Prior to that he was in private legal practice for 12 years.
Minal Upadhyaya is Vice President, Policy & General Counsel at IFIC where she leads the team responsible for the development of policy positions and responses to regulatory proposals on behalf of the investment funds industry. She is also responsible for the day to day legal needs of the organization. Minal has extensive experience advising investment fund manufacturers, mutual fund dealers and investment dealers on a wide variety of matters. Prior to her role with IFIC, she was with a national wealth management firm for over 13 years, where she managed a team providing advice to senior management, registered representatives and operations groups. Prior to that, Minal was in private practice with firms in Toronto and Halifax.
Margaret Gunawan, Managing Director, is General Counsel and Chief Compliance Officer for BlackRock’s Canadian business. BlackRock is a global investment management and technology solutions firm that, as of December 31, 2018, manages over US$5.98 trillion in assets on behalf of investors worldwide. In her current role leading as Head of Canada L&C and Chief Compliance Officer for the Canadian business, Margaret leads a team of legal and compliance professionals in providing day-to-day advice and support on a wide variety of legal and regulatory issues and strategic projects. Margaret brings over 15 years of experience across investment management and investment funds work, including both public and private funds, securities, pension, general corporate and tax issues affecting registered firms in Canada. As a key member of the Canadian senior management team, she sits on the Canada Executive Committee. Margaret works closely with industry associations and regulators on regulatory development and advocacy issues for BlackRock and the investment management industry. She is a board member of the Portfolio Management Association of Canada and chairs its Industry Regulatory & Tax Committee. She is also a member of the Policy Committee of the Canadian ETF Association and a member of Women in Capital Markets. Given her experience in the changing regulatory environment, Margaret has been an active participant on advocacy issues impacting the industry, which includes speaking at events, writing submissions on regulatory initiatives and participating in meetings with regulators and government officials to discuss market trends and the impact of proposed regulatory changes on investors. Prior to joining BlackRock, Margaret was a counsel at the Royal Bank of Canada, specializing in wealth management, focusing on investment products, retail distribution, estates and trusts. She began her career as an associate at several Toronto law firms. Margaret earned a BA degree in anthropology from the University of Western Ontario and a graduate degree from the Osgoode Hall Law School.