1. Exclusive updates and Q&A with OSC, ASC, AMF and FCNB
    Get direct information and feedback from key regulators.
  2. Navigate regulatory developments impacting derivatives, embedded commissions and investor protection (client-focused reforms)
    With the high degree of reforms taking place, many registrants are experiencing regulatory fatigue, with an increasing amount of energy and resources being spent on compliance as opposed to advancement of business.
  3. In-depth breakout sessions for all categories of registrants
    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
    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.



 Investment Fund Managers, Mutual Fund Dealers, Portfolio Managers, Financial Advisors, Exempt Market Dealers

Vice President | Chief Compliance Officer | VP Compliance & Financial Reporting| CFO | Finance


Chair | Vice Chair | Director Compliance | Director Regulatory Market | Director Education

Law Firms

Partner | Associate Lawyer | VP & Director of Sales & Marketing