Agenda - Day 2

There are no agenda items with this track

7:30 am

7:30 am

Registration and Breakfast

8:15 am

8:15 am

Opening Comments from the Chair

8:30 am

8:30 am

CCO Panel

Managing Change: Optimizing Your Compliance Program to Meet Client Focused Reforms, Increased Digitalization, and Market Risk

Optimizing your compliance programs must be prioritized as new rules come into place, in addition to the changes already taking place in the financial services industry. Meet your increased obligations by anticipating impending challenges such as CFR, digital transformation and registrant oversight. Develop practical solutions to:

  • Improve your training, education, and compliance outcomes
  • Address the most likely gaps in your compliance programs
  • Anticipate and address regulatory changes over the next couple of years

Develop and implement a truly optimized compliance program to meet regulatory and business challenges

9:30 am

9:30 am

Documentation Panel

How to Meet Revised Compliance Obligations for Books, Records, Policies and Procedures and Internal Controls

The Client Focused Reforms require firms to document how they are providing training, as well as keeping detailed records to address other aspects of the requirements. Determine how you can ensure your firm can properly document all aspects of your new obligations. Address your upcoming obligations by:

  • Developing focused training programs to meet compliance obligations
  • Updating and rewriting policies and procedures surrounding training and sales practices
  • Documenting how representatives are meeting the new requirements

Gain valuable insight into how you can meet revised compliance obligations with respect to record keeping

10:15 am

10:15 am

Morning Break

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

10:45 am

10:45 am

Managing Volatility – Emerging Issues

The news cycle is constant, urgent and ever changing, raising significant issues that can move markets quickly and unexpectedly. Gain insight into these issues and learn how you can equip yourself and your firm to pro-actively adopt measures to minimize impacts.  Issues addressed will encompass:

  • The increasing importance of, and focus on, Environmental, Social and Governance factors in the investment space
  • Financial consequences and impact of COVID-19, and other similar current (and future) global events
  • How to hedge against political uncertainty and volatility

Gain valuable insight into emerging issues to manage volatility and risks facing the securities and financial industries

11:30 am

11:30 am

Cyber Security and Data Privacy

Improving Data Governance and Protection to Adhere to Stricter Regulatory Requirements

Data governance has become increasingly important across all industries, and with increased digitization, it will remain a high-profile concern for financial services organizations. Prepare your team to respond to increasing threats and breaches, while fostering best practices in data hygiene. Gain valuable insight into how you can:

  • Assess your vulnerabilities and review your data governance practices
  • Grasp the most pressing issues that could affect your organization, and master how to respond to a data breach
  • Stay up to date with new threats and develop a plan to reduce potential attacks
  • Prepare for the implications of GDPR outside the EU

Advance your data best practices to meet your governance obligations

12:15 pm

12:15 pm

Networking Lunch

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

1:15 pm

1:15 pm

Regulator Update

What You Need to Know About the OSC’s Recent Announcement on Reducing Regulatory Burden in Capital Markets

For the past year, the Ontario Securities Commission (OSC), in coordination

with the Ontario Ministry of Finance, has engaged market participants to help reduce the regulatory burden in capital markets. Achieve a better understanding of how the review is progressing, and what we can expect in the coming years. Gain a stronger understanding of

  • Which concerns are being addressed – and how
  • Which initiatives are being prioritized – and why
  • How changes will make it is easier to navigate revised regulations

Build your knowledge of the proposed changes for reducing the regulatory burden in capital markets

2:15 pm

2:15 pm

Mitigating the Risks for Advising Older and Vulnerable Clients

Protecting older investors from misleading, predatory, or otherwise negligent sales practices continues to be top of mind for regulators. As the population ages, firms must remain vigilant to monitor and oversee advice to older and vulnerable clients. Build a practical response strategy to:

  • Avoid common errors to ensure suitability – and comprehension
  • Train your advisors to deliver suitable advice to your older investors
  • Enhance the protection of your vulnerable investors to exemplify excellence in compliance

Source expert advice to meet the challenges of protecting older and vulnerable clients

3:00 pm

3:00 pm

Afternoon Break

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

3:30 pm

3:30 pm

Compliance Challenges and Solutions for Market Manipulation

Monitoring trading and advisory services is a core responsibility for compliance officers. And although there are good checks and balances in place, it is imperative to improve on monitoring. Bolster your best practices with insights into:

  • Combatting insider trading, and suspicious trading practices
  • Determining when, and how, certain investor fraud matters occur
  • Solutions to effectively monitor advisors, and encourage self-monitoring for non-compliance matters

Build a blueprint for overcoming compliance challenges with respect to marketing manipulation

4:15 pm

4:15 pm

Panel: Anti-money Laundering

Update on the Implementation of AML Regulations

The amendments on Canada’s AML regulations became effective in 2017. Determine how the implementation process is proceeding and how organizations are ensuring compliance. Walk away with an action plan to:

  • Update your AML procedures to ensure compliance
  • Train your advisors and staff to avoid fines and disciplinary actions
  • Level set your AML program to ensure you maintain momentum

Build an action plan to remain compliant with new AML rules

5:00 pm

5:00 pm

Conference Adjourns

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