Agenda

There are no agenda items with this track

7:30 am

7:30 am

Registration and Continental Breakfast

8:15 am

8:15 am

Opening Comments from the Chair

8:30 am

8:30 am

CSA Panel

Increase your Understanding of Recent Regulatory Requirements to Build an Effective Compliance Program

Senior and experienced representatives from Canada’s regulators discuss their policy objectives and regulatory expectations. Post your questions in advance to clarify staff notices, ask what will be coming in the near future and enhance your compliance strategies. Source exclusive insights to:

  • Comply with new regulations and meet expectations
  • Determine what will be new for 2020, and the timeline for new requirements
  • Align your compliance strategy to meet regulators’ objectives

Clarify the expectations of provincial regulators to improve your compliance

10:00 am

10:00 am

Morning Break

Connect with conference speakers and fellow attendees. Secure important new contacts and talk about developments in integrated care.

10:30 am

10:30 am

Conflict of Interest

Building a Compliance Program that will Meet the New Rules on Managing Conflicts of Interest

Identifying and managing conflicts of interest between registrants and clients has been a major focus for all financial services firms. But with some of the changes in expectations taking effect on Dec 2020, you must ensure your conflict of interest requirements are up to the new standards. Delve into the details of the new requirements to:

  • Meet guidance requirements about material conflicts of interest
  • Create an action plan to focus on regulatory expectations regarding proprietary products, 3rd party compensation, internal incentives, embedded compensation, and referral arrangements
  • Document that reasonable steps were taken to identify existing conflicts of interest, and those that are foreseeable

Create an action plan to ensure your organization meets the new rules on managing conflicts of interest

11:30 am

11:30 am

Reg Tech

Opportunities to Streamline and Reduce your Regulatory Burden

In an increasingly regulated financial landscape, many firms are turning to RegTech to reduce the risk of noncompliance. From identity management and control, to transaction monitoring and risk management, take a deep dive into the latest innovative solutions developed to streamline your compliance efforts:

  • Determining the readiness for RegTech solutions
  • Seeking compliance in the cloud; cyber and data security
  • Automating your compliance program: key tools

Explore ways that RegTech can help redefine the future of regulatory compliance in the financial sector

12:15 pm

12:15 pm

Networking Lunch

Join the conference speakers and your peers for a relaxing luncheon.

1:30 pm

1:30 pm

How Client Focused Reforms Will Affect IIROC and MFDA Firms

Industry response to Client Focused Reforms may depend, in part, on how SROs plan to implement and oversee the implementation of the reforms. Assess the role of IIROC and MFDA in implementing the reforms, and how industry is responding. Gain valuable insight into how:

  • Firms can comply with specific oversight issues IIROC and MFDA have targeted
  • Firms are complying with revised rules

Assess how firms can respond to IIROC and MFDA Client Focused Reform implementation

2:30 pm

2:30 pm

How to Manage Increased Suitability Requirements Under the New Client Focused Reform Rules

With the impending changes on determining and documenting suitability coming into effect under Client Focused Reforms, all regulated firms must bolster their oversight of how registrants deliver advice. Craft a new model for advice, suitability, KYP and KYC guidelines through a more focused oversight model. Take away practical strategies and solutions to:

  • Ensure registrants are knowledgeable about the securities invested in by clients
  • Create training and recordkeeping processes tied to KYP expectations
  • Monitor and confirm that the client’s interests are put first
  • Understand the CSA’s role in monitoring registrants
  • Understand how different firms (EMDs and PMs) apply these rules to their businesses
  • Determine the nuanced rules which may be different for institutional permitted clients

Meet your upcoming compliance obligations with respect to suitability, KYP and KYP changes

3:30 pm

3:30 pm

Afternoon Break

Connect with conference speakers and fellow attendees. Secure important new contacts and talk about developments in integrated care.

4:00 pm

4:00 pm

Managing Your Regulatory Obligations on Estate Taxes, Trusts and Powers of Attorney

With wealth transfers growing, firms are finding more clients are approaching financial managers for guidance on managing their estates. Avoid possible fines and break through the complicated compliance requirements necessary to deliver accurate advice to clients. Take back practical solutions for:

  • Meeting your clients’ biggest challenges on estate taxes, trusts, and wills
  • Remaining compliant on all aspects of estate planning advice
  • Determining how to advise registrants and clients on foreign estates and taxes
  • Building an estate planning program that can be a regulatory model

 

Reduce confusion, avoid censure and improve your ability to deliver advice on estate planning

4:45 pm

4:45 pm

Conference Adjourns

4:50 pm

4:50 pm

Evening Reception

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