Agenda

May 3, 2018
  • 7:30 AM
    Registration
  • 8:15 AM
    Opening Comments from the Chair
  • 8:30 AM
    Keynote Address
    How your Compliance Function is Becoming a Key Influence of Product, Pricing and Advisor Compensation Decisions, and The Impact on Your Career
    Goshka Folda
    President and CEO, Investor Economics

    A slew of new and proposed financial reforms is exerting an ever-growing impact on the business models for wealth managers and advice-givers. As a result, the compliance function is becoming more strategically important – with it becoming a key influencer of product, pricing and advisor compensation decisions.

    Take away key insights on what this change means for your role and YOUR FUTURE CAREER as a compliance professional.

  • 9:00 AM
    Panel Discussion & Q&A: Provincial Regulators
    Increase your Understanding of Regulatory Requirements to Build an Effective Compliance Program
    Marc-Olivier St-Jacques
    Senior Policy Advisor, Autorité des marchés financiers
    Zach Masum
    Manager, Legal Services, BCSC
    Jason Alcorn
    Senior Legal Counsel, New Brunswick's Financial and Consumer Services Commission
    Amy Tsai
    Fintech Regulatory Advisor, OSC
    Mark Franco
    Manager, Legal, Market Regulation, ASC

    Back by popular demand, senior and experienced representatives from four of Canada’s regulators discuss their policy objectives and regulatory expectations in depth. Post your questions in advance to clarify staff notices, ask what will be coming in the near futuresoon, and enhance your compliance strategies. Source practical tips to:

    • Find out how you are expected to comply with new regulations and expectations
    • Determine what will be coming new for 2018, and the timeline for new requirements
    • Align your compliance strategy to meet regulators’ objectives

    Clarify the expectations of provincial regulators to improve your compliance.

  • 10:30 AM
    Mid-morning Networking Break
  • 11:00 AM
    Industry Expert: Regtech
    Digitalization of the Fund Creation Process – Myth or Reality?
    Miroslav Petrov
    Product Director and Co-Founder, Fortia Financial Solutions

    Investment managers must cope with a broader range of third parties and teams involved in the fund creation process. Reduce communication mistakes to ensure accuracy of your fund referential information and rules construction.

    Discover how to:

    • Capture all the relevant information in existing fund documents and convert it into a standardized format
    • Share information and coordinate with third parties such as Depositary banks, Fund Administrators, Regulators
    • Accelerate through automation the creation process of documents related to the fund

    Streamline your fund creation process with digital tools.

  • 11:30 PM
    Panel: Mutual Fund Fees Reform
    Prepare your Firm and Advisors for Upcoming Mutual Fund Fees Reform
    Minal Upadhyaya
    VP Policy and General Counsel, IFIC

    The CSA is expected to announce its decision regarding mutual fund fees in the near future. Review the implication of these proposals on your firm to ease the implementation process. Source practical tips to:

    • Assess your business model
    • Reduce your risk of conflict of interest
    • Develop alternatives for your small investors

    Assess the implication of mutual fund fee reforms on your business.

  • 12:30 PM
    Networking Luncheon
  • 1:30 PM
    Panel: Cryptocurrency
    Adapt your Compliance Program to the New Requirements of Staff Notice 46-307
    Amy Tsai
    Fintech Regulatory Advisor, OSC
    Kuno Tucker
    Director, Chief Compliance Officer, ITG Canada

    Cryptocurrency trading may be a big part of the future. The CSA Staff Notice 46-307 issues new guidance for cryptocurrency offerings. Analyse the impact of the new guidance for your plans in this area. Take back to your office strategies to:

    • Review what CSA Staff Notice 46-307 means for your institution
    • Advance your monitoring of operations
    • Improve the training of your dealers

    Meet the CSA requirement for cryptocurrency.

  • 2:15 PM
    Industry Expert: The Future of Monitoring
    Leverage Technology to Improve the Effectiveness and Efficiency of your Employee Conflicts of Interest Monitoring
    Michael Alger
    Product Manager, StarCompliance

    In an increasingly regulated environment, financial institutions are focused on the management and mitigation of employee conflicts of interest and market abuse. Go beyond your paper-based process to improve your monitoring. Gather practical tips to:

    • Identify the key components of your employee compliance solution
    • Integrate within the existing system and source good quality data
    • Review in-house and external solutions

    Update your monitoring process and look ahead to the future of compliance monitoring

  • 2:45 PM
    Mid-afternoon Networking Break
  • 3:15 PM
    Case Study: Digital Transformation
    Transform your Branch Management Monitoring into a 21st Century Compliance Program
    Dave Malone
    VP Business Initiatives, RBC Wealth Management Canada

    The road towards a paperless compliance program is filled with hurdles, but your digital transformation is key to improve your oversight and ensure compliance. Gain insights to:

    • Determine the limits of paperless compliance with the current regulations
    • Implement your digital monitoring
    • Advance your compliance control

    Gain the tools to better monitor and modernize your compliance program.

  • 3:45 PM
    Chief Compliance Officer Panel
    Strengthen your Compliance Process and Get Ready for Upcoming Reforms
    Andrew Ma
    VP, Compliance, Timbercreek Asset Management
    Kuno Tucker
    Director, Chief Compliance Officer, ITG Canada
    Ameeta Vijay
    Chief Compliance Officer, SVX, MaRS Centre for Impact Investing
    Charyl Galpin
    Chief Regulatory Officer, Wealth Management, BMO Financial Group

    The next wave of reforms is coming and the CCO’s duties are likely to grow. Delve into best practice tips to improve your strategy to comply. Source practical tips to:

    • Excel in developing and implementing your risk management program
    • Bolster the compliance culture at your firm
    • Cultivate and utilize your resource base

    Transform compliance into a competitive advantage for your firm.

  • 4:30 PM
    Conference Adjourns to Day Two
May 3, 2018
May 4, 2018
  • 7:30 AM
    Registration and Continental Breakfast
  • 8:15 AM
    Opening Comments from the Chair
    Prema K. R Thiele
    Partner, Borden Ladner Gervais LLP
  • 8:30 AM
    Keynote Address: Global Regulatory Trends
    Stay up-to-date with Changes at the SEC and MiFID II to Enhance your Compliance Program
    David Tittsworth
    Counsel, Ropes & Gray LLP and Former President and CEO, Investment Adviser Association for (IAA)

    Regulatory reforms in the US and Europe provide hints on the direction that Canada might take. Grasp the big picture to anticipate the next challenges for your compliance program, based on MiFID II and the SEC. Take away practical tips:

    • Analyse what is driving reforms abroad
    • How changes in the US and Europe will impact your firm
    • Adjust your operations to disclosure requirements

    Tune in global regulatory trends to strengthen your compliance program.

  • 9:15 AM
    Spotlight: Cybersecurity
    Understand How to Combat the Threat of Cyber Risks

    A recent survey of 649 registered firms found that more than half experienced a cybersecurity incident in 2016. Develop your cybersecurity strategy to ensure due diligence and protect your investors. Take back to your office strategies to:

    • Train your staff on the risk of cyber attacks
    • Collaborate with your IT team
    • Communicate with your investors after a major incident

    Meet the CSA expectations when protecting your investors against cyber threats.

  • Investment Funds & Portfolio Managers
    • 9:30 AM
      Breakout A: Investment Funds & Portfolio Managers
      Inya Ivkovic
      Vice President, Compliance, State Street Global Advisors
      Julie Cordeiro
      Vice President, Head of Legal & Compliance, Burgundy Asset Management

      As ethics and compliance become more and more important, you must analyze strategies to solve your compliance concerns. Brainstorm new solutions with your peers that will help your organization get ahead. Take back your strategies on:

      • Risk management
      • Fiduciary duty
      • Mutual fund fees and compensation structures
      • Representative accreditation
      • Outside business activities
      • Compliance challenges
      • Dispute resolution
      • Outsourcing processes
      • Advising vulnerable customers

      Source specialized information most critical to your role.

    Exempt Market Dealers
    • 9:30 AM
      Breakout B: Exempt Market Dealers
      Brian Koscak
      President and General Counsel, Pinnacle Wealth Brokers

      The exempt market continues to evolve, creating many challenges associated with compliance. Take advantage of this hands-on session to ready your organization for the future. Adopt best practices on:

      • Solving compliance deficiencies
      • Restricted market dealers
      • New limits on EMDS
      • Best practices
      • Dispute resolution
      • Prospectus exemptions
      • Suitability for clients
      • Proper documentation
      • Know your client
      • Related party products
      • Best interest standard

      Create a plan to tackle your most pressing challenges.

  • 10:00 AM
    Mid-morning Networking Break
  • Exempt Market Dealers
    • 10:30 AM
      Breakout A Continues

      As ethics and compliance become more and more important, you must analyze strategies to solve your compliance concerns. Brainstorm new solutions with your peers that will help your organization get ahead. Take back your strategies on:

      • Risk management
      • Fiduciary duty
      • Mutual fund fees and compensation structures
      • Representative accreditation
      • Outside business activities
      • Compliance challenges
      • Dispute resolution
      • Outsourcing processes
      • Advising vulnerable customers

      Source specialized information most critical to your role.

    INVESTMENT FUNDS & PORTFOLIO MANAGERS
    • 10:30 AM
      Breakout B Continues

      The exempt market continues to evolve, creating many challenges associated with compliance. Take advantage of this hands-on session to ready your organization for the future. Adopt best practices on:

      • Solving compliance deficiencies
      • Restricted market dealers
      • New limits on EMDS
      • Best practices
      • Dispute resolution
      • Prospectus exemptions
      • Suitability for clients
      • Proper documentation
      • Know your client
      • Related party products
      • Best interest standard

      Create a plan to tackle your most pressing challenges.

  • 12:00 PM
    Networking Lunch
  • 1:00 PM
    Industry Expert: Regtech and the Cloud
    Adopt Cloud Technologies in your Operations to Bolster your Compliance Culture
    Andrew Patrick White
    Founder & CEO, FundApps

    The velocity of change within regulation is ever increasing. Likewise, the cloud is a red-hot topic in the traditionally cautious financial services space. Analyze how the cloud can aid your compliance practices and help you shift from a reactive to a proactive mind-set when tackling compliance requirements. Develop a blueprint to:

    • Identify how regtech in the cloud could help you
    • Simplify compliance oversight
    • Streamline your regulatory processes

    Capitalize on new regtech cloud technology to simplify your compliance process.

  • 1:30 PM
    Panel: Sales Practices
    Monitor Sales Incentive Practices to Ensure you Avoid Conflict of Interest
    Janet Salter
    Senior Policy Advisor, IFIC
    Geneviève Gagnon
    Senior Policy Advisor, AMF

    It is critical to avoid conflict of interest in sales processes. Regulations prohibit paying money or non-monetary benefits to a dealing representative who advises clients. Ensure you meet expectations without overstepping the boundaries in your sales practices. Take away specific solutions to:

    • Improve transparency with the regulators
    • Review your compensation arrangements
    • Sustain your oversight

    Avoid conflicts of interest and remain compliant in your sales processes.

  • 2:15 PM
    Financial Planning Regulatory Change
    Prepare your Advisors for Further Harmonization Between Financial Planning and Securities Regulations
    Keith Costello
    President and CEO, Canadian Institute of Financial Planners
    Damienne Lebrun-Reid
    Managing Director, Standards, FPSC

    The OSC announced its intent to regulate financial planning titles and proficiency requirements and the Ontario government has discussed reforms. Familiarize your advisors with upcoming harmonization and plan your business strategy. Further your expertise in:

    • Financial planning regulations
    • The current state of the consultations
    • The potential impact of financial planning reforms on your advisors

    Analyse current talks of regulatory harmonization and its potential impact on your firm.

  • 3:00 PM
    Mid-afternoon Networking Break
  • 3:30
    Panel: Serving Seniors Protocol
    Improve your Company Processes with Senior’s Advice and Stay Compliant
    Neville Joanes
    Chief Compliance Officer, WealthBar

    With an aging population, regulators regularly express their concerns about protecting seniors. Enhance the protection of your vulnerable investors to exemplify excellence in compliance. Perfect your strategy to:

    • Target common pitfalls when ensuring suitable advice
    • Refine your list of retirement securities
    • Train your advisors

    Deliver suitable advice to senior investors

  • 4:00 PM
    Whistleblowers
    Protect Internal Reporting of Misconduct to Strengthen your Monitoring
    Meenu Joshi
    Senior Forensic Manager, OSC

    The OSC implemented its whistleblower program last July. Respond to your employees’ ethical concerns to boost internal control and enhance transparency. Walk away with an action plan to:

    • Improve your internal control of misconducts
    • Ensure that your internal channels allow safe reporting
    • Assess the impact of whistleblower awards in your province

    Improve internal controls to reduce the likelihood of misconduct within your firm

  • 4:30 PM
    Conference Adjourns
May 4, 2018

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