1. Exclusive updates and Q&A with OSC, AMF, BCSC, and ASC
      Back by popular demand, this prestigious event will host the Regulators Panel. Get direct information and feedback from key regulators, all in one place, at one time.
    2. Strategies to navigate the fintech’s regulatory framework
      Fintech is a promising avenue filled with regulatory hurdles. Enable your firm’s digital transformation by ensuring its compliance to fast changing regulations.
    3. In-depth breakout sessions for all categories of registrants
      Unique to this marquee event, source knowledge most pertinent to your firm at interactive breakouts for investment fund managers/portfolio managers vs. exempt market dealers. Get practical tips from IIROC, MFDA, NEMA, PCMA, PMAC, IFIC and many others.
    4. Solve your Regulatory challenges with your peers in highly interactive sessions
      Share insights on the impact of CRM2 on your customers to improve your reporting. Enjoy 5+ hours of interactive sessions to discuss your regulatory challenges and share best practice with your peers.
    5. Insights and relationships to help you achieve compliance excellence
      This event is your foremost source of information focused on registrants’ requirements, compliance and emerging trends affecting your business. From CRM2 to taxation to robo-advisors and equity crowdfunding exemptions, this event covers it all. Meet and build relationships with regulators, industry associations, legal experts, and fellow compliance peers.


Join 200+ thought leaders, experts and professionals from across North America at this unique event.


Investment Management Firms, Mutual Funds, Investment Dealers

Vice President / Directors and Managers | Chief Compliance Officer | Counsel | Regulation | Finance


Registration | Compliance | Regulatory | Counsel

Law Firms

Partner | Counsel | Associate