Agenda

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.

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.

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.

The Investment Funds Institute of Canada (IFIC) is the trade association for the Canadian investment funds industry, including mutual fund managers and mutual fund dealers. IFIC keeps on top of regulatory developments and works with its members to develop responses to proposed regulatory initiatives. Understand the industry position on current topics including:

• Mutual funds fee reform
• Best interest standard
• Targeted reforms
• Sales Practices
• Focus on senior investors
• Reducing the regulatory burden

Stay ahead with the latest regulatory developments and prepare your firm for the change

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.

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

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.

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.