Senior and experienced representatives from 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 future and enhance your compliance strategies. Source exclusive insights to:
Clarify the expectations of provincial regulators to improve your compliance.
The Canadian Securities Administrators (CSA) proposed amendments to address key investor protection concerns with respect to the relationship between clients and securities advisers, dealers and representatives with a focus on clients' best interests. The Proposed Amendments are expected to impose additional compliance obligations. This session will explore these amendments and their impact on you.
Source expert insights on the impact of client-focused reforms to your firm.
The CSA have proposed two new instruments: NI 93-101 Derivatives: Business Conduct and NI 93-102 Derivatives: Registration. These instruments are designed to implement a comprehensive regime for the regulation of dealers and advisors in over-the-counter derivatives. Explore the changes that these rules entail and the expected impact to industry participants and the OTC derivatives market, including:
Understand new rules for the OTC Derivatives marketplace.
The Canadian Securities Administrators has proposed changes that would prohibit certain embedded commissions paid to dealers in a bid to address investor protection concerns. This includes banning investment fund managers from paying up-front sales commissions to dealers. This session will examine the impact of the implementation of the CSA's policy response to the investor protection and market efficiency issues arising from the prevailing practice of investment fund managers remunerating dealers and their representatives for mutual fund sales through commissions, including sales and trailing commissions.
Stay on top of the latest proposals and impact on industry.
The OSC’s Whistleblower Program, the first paid program of its kind for a Canadian securities regulator, provides whistleblowers an outlet to report securities misconduct and offers a financial award of up to $5 million. The program is an opportunity for registrants to review and enhance their internal compliance and reporting mechanisms and to foster a culture that encourages the internal reporting of misconduct. The session will cover:
Don’t miss key insights and the chance for Q&A with OSC.
The financial services sector has increasingly witnessed the introduction of innovative technologies to increase choice, improve convenience and lower prices for consumers and businesses. However, there is a fragmented regulatory structure around digital advice. Strengthen your ability to offer advice while navigating the stringent compliance minefield. Develop clarity on the role of automation and more:
Get ahead of the curve and remain compliant with latest developments in advising rules.
The downside of an audit can be huge. There’s more to it than having just complied. In this interactive session, you will work with your peers to improve your strategies to survive and succeed in an audit. Achieve a step-by-step action plan to:
• Understand what the regulators say and respond to what they are looking for
• Refine how you approach enquiries and requests for records
• Implement best practices from your peers for managing the audit process
Develop a model to help your organization plan for its next audit.
Open banking, the concept that would allow customers to share data held by their banks with third parties, such as other financial institutions or fintech companies in order to combine it with data from other sources to yield new benefits to those customers, is gaining traction around the world. But are Canadian FIs ready for it? Explore the concept and the compliance implications:
Anticipate and prepare for Open Banking and the Canadian regulatory response.
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.
As the exempt market continues to evolve, creating many challenges associated with compliance, exempt advisers and dealers must stay on top of their existing compliance and reporting obligations and keep informed of potential changes in the regulatory landscape. Key elements of the exempt market regime have recently been amended and regulators are paying closer attention to whether certain prospectus and/or registration exemptions were used appropriately. Hear the latest developments impacting exempt market dealers:
Reevaluating your compliance programs is necessary for the common deficiencies found by regulators. Risk management and cultivating a compliant culture are integral components of any compliance program. This session will help you to develop your strategy to stay ahead of regulatory changes.
Excel in developing and implementing your risk management program.
With an aging population, regulators regularly express their concerns about protecting seniors, recognizing that the financial lives of older Canadians have grown increasingly complex relative to previous generations. Enhance your strategy to:
Enhance the protection of your vulnerable investors to exemplify excellence in compliance.
Cybersecurity has become an increasingly important part of registrants’ internal controls. There is increasingly a need for proactive strategies to protect your customers and reputation by complying with regulations to minimize the risk of a data breach, Denial of Service attack or ransomeware threat.
Advance your protective measures to avoid a data breach.