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:
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:
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:
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:
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:
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:
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:
Transform compliance into a competitive advantage for your firm.
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:
Tune in global regulatory trends to strengthen your compliance program.
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:
Source specialized information most critical to your role.
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:
Create a plan to tackle your most pressing challenges.
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:
Source specialized information most critical to your role.
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:
Create a plan to tackle your most pressing challenges.
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:
Capitalize on new regtech cloud technology to simplify your compliance process.
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:
Analyse current talks of regulatory harmonization and its potential impact on your firm.
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:
Deliver suitable advice to senior investors
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 internal controls to reduce the likelihood of misconduct within your firm.