Agenda - Day 2

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

Review yesterday’s highlights and prepare for your day!

Evolving your compliance programs is an ongoing challenge as new rules come into place. Meet your increased obligations by preparing for impending challenges such as Client- Focused Reforms, digital transformation, and other registrant oversight requirements. Hear from other compliance departments as they discuss practical solutions to:

• Improve your training, education, and registrant oversight
• Identify, prioritize and address gaps in compliance programs as risks and obligations evolve
• Understanding the implications of rapidly changing market risks in the context of recent CSA guidance for Effective Liquidity Risk Management for investment funds
• Anticipate and address expected regulatory changes in the near and short term

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

For the past year, the Ontario Securities Commission (OSC), in coordination with the Ontario Ministry of Finance and other members of the CSA, 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

• Pose your biggest questions to leading industry vendors through 1:1 video conversations or chat
• Attend a live demo and better understand your options. Source innovative content from virtual booths
• Leave with solutions to your biggest challenges

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 proactively 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
• Growing importance of liquidity risk management

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

Monitoring trading and advisory services is a core responsibility for compliance officers. Although there are good checks and balances in place, it is imperative to improve 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 market manipulation

With wealth transfers growing, firms are finding more clients are approaching financial managers for guidance on managing their estates. Increasingly, registrants are having to watch for the difficult situations where clients may be losing capacity to deal with their assets or are in danger of financial exploitation. Regulators have long encouraged registrants to request clients give them a name of a trusted contact person or to watch for signs of financial exploitation. Take back practical solutions for:

• Meeting your clients’ biggest challenges on estates, trusts and wills
• Remaining compliant on all aspects of estate planning advice
• Determining how to advise registrants and clients on foreign estates and taxes
• Understanding when to call a trusted contact person or to put a hold on an account

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

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

The Task Force has suggested that the current SRO framework does not consistently align with the OSC’s public interest mandate and proposes several amendments, including a move to a single SRO. However, not all parties can agree on the details. Get up to date details on the latest developments, including:

• The status of the report and the major proposals and areas of contention
• What the amendments will mean for SROs, compliance officers, and investors
• Next steps and timelines

Gain a more detailed understanding of the status of Capital Markets Modernization Task Force

Dissect key solutions and take-aways from today’s sessions. Source a summary of actions points you can implement.