The Canadian registrants’ regulatory landscape continues to quickly change, with enhanced regulatory expectations – are you up to date?
Covid-19 challenges, sales practice guidance, client-focused reforms, business conduct, and registration rules are just a few regulatory developments that will require massive change to your processes. Your company is relying on you to develop new compliance processes.
Engage with top regulators and industry leaders to ensure your firm meets evolving regulatory requirements. Take advantage of unique interactive panel sessions, specifically designed for Investment Funds and Portfolio Managers.
No other conference offers this in-depth a discussion tailored to your job responsibilities.
Your Registrant Regulation Team
Exclusive updates and Q&A with the regulators
Get direct information and feedback from key regulators.
Navigate regulatory developments impacting suitability and conflict of interest
With client-focused reforms coming into force, many registrants are experiencing regulatory fatigue. Don’t fall prey to that behaviour and get caught off guard.
Hear specifically how Covid-19 has influenced Remote Management and Oversight
Take a deep dive in the critical issues and challenges with respect to monitoring registrants/audits remotely. Engage with panels of experts to gain practical tips and get your questions answered.
Solve your regulatory challenges by learning from peers in highly interactive sessions
Share insights about the impact of regulatory change on your firm to improve your reporting. Enjoy 12+ hours of engaging sessions to discuss your regulatory challenges and share best practices with your peers.
Develop insights and strengthen relationships to help you achieve compliance excellence
From KYC and KYP to taxation to suitability and reducing the regulatory burden, this event covers it all. Meet and build relationships with regulators, industry associations, legal experts, and fellow compliance peers.
Ever attend an event where you feel like you’re lost in a crowd? Not at the 13th Annual Focus Event on Registrant Regulation Conduct and Compliance! We deliberately design the program to encourage you to meet with like-minded people – every day of the event. You’ll do so at a number of small working groups, industry workshops, peer-led breakouts, roundtables and much more! You’ll come as an individual attendee – but you’ll leave as part of the Registrant Regulation Conduct and Compliance community!
Customer Success Manager