Agenda

There are no agenda items with this track

10:00 am

10:00 am

Networking

NETWORKING

Enter Networking Lounge, Connect with Compliance Colleagues

  • Get a good start on the day and make connections with industry leadership
  • Join “drop-in” roundtables on most topical issues
  • Schedule 1-to-1 video meetings with peers
  • Gather essential content at virtual exhibit booths

11:00 am

11:00 am

Setting Today’s Plan from your Chair

Review today’s sessions and speakers and learn about key industry updates.

11:10 am

11:10 am

Keynote Address

CSA Panel on Client-Focused Reforms Increase your Understanding of Recent Regulatory Enhancements to Build an Effective Compliance Program

Senior and experienced representatives from Canada’s regulators discuss their policy objectives and regulatory expectations focusing on the Client-Focused Reforms. Share  your questions in advance to clarify expectations, 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 2021 and beyond, and the timeline for any new projects or considerations
  • Align your compliance strategy to meet regulators’ objectives

Clarify the expectations of provincial regulators to improve your compliance

12:30 pm

12:30 pm

Panel Discussion: Conflicts of Interest

Building a Compliance Program that will Meet the New Expectations on Addressing 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 the Client-Focused Reform changes taking effect on June 30, 2021, you must ensure your management of conflicts of interest are up to the new standards. Delve into the details of the new requirements to:

  • Meet regulatory expectations in addressing material conflicts of interest
  • 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

Ensure your organization meets the new rules on addressing conflicts of interest

1:30 pm

1:30 pm

Industry Expert: RegTech

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 of your firm 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

2:00 pm

2:00 pm

Networking

Networking Break

Enter Networking Lounge, Connect with Your Industry Colleagues

  • Continue to make connections with industry leadership
  • Join “drop-in” roundtables on most topical issues
  • Schedule 1-to-1 video meetings with peers
  • Gather essential content at virtual exhibit booths

2:30 pm

2:30 pm

How Client-Focused Reforms Will Affect IIROC and MFDA Member 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

Understand exactly how firms can respond to IIROC and MFDA Client-Focused Reform implementation

3:00 pm

3:00 pm

Compliance Officers’ Panel: How to Implement the New Client-Focused Reforms

With the impending changes to 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 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

4:00 pm

4:00 pm

Remote Management and Covid-19: Managing Oversight, Audits, and Other Ongoing Challenges

Work from home mandates presents new challenges for compliance officers. With more remote work, and the challenges surrounding monitoring and other compliance issues, learn how firms are coping with the changes. Join the discussion on how best to address:

  • What the temporary blanket relief for registrants and unregistered capital markets participants entails
  • The special challenges of overseeing advisors when all parties are working remotely
  • Supervising registerable activities remotely
  • Increased risks from non-face-to-face interactions and reliance on digital and virtual communications
  • Cybersecurity impact to compliance and risks programs
  • The current auditing challenges, and what to expect going forward

Assess the compliance challenges faced during Covid-19 as we move into a new year

4:45 pm

4:45 pm

Key Take-Aways and Summary of Day One from your Chair

5:00 pm

5:00 pm

Networking

Extravaganza and Virtual Happy Hour!

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