David Balsdon

Chief Compliance Officer

David joined Harvest in January 2015 and brings over 25 years of experience through a progressive career in the investment fund management business. Prior to joining Harvest, David has held positions of Chief Operating Officer, Chief Compliance Officer, Secretary-Treasurer and Director at two investment management firms. During his career, David has worked in the areas of operations, financial reporting, compliance, client service and fund product development. David has spent time sitting on investment fund industry committees and boards of investment funds in various capacities. David has successfully completed all senior Canadian Securities Institute compliance courses and is a regular compliance conference panel participant.


All Sessions by David Balsdon

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Day 1: Jun 17, 2020

Day 2: Jun 18, 2020

11:10 am

11:10 am

Optimizing Your Compliance Program in the Face of Regulatory Changes, Increased Digitalization, and Market Risk

Evolving your compliance programs is an ongoing challenge as new rules come into place. Meet your increased obligations by preparing for impending challenges such as Client- Focused Reforms, digital transformation, and other registrant oversight requirements. Hear from other compliance departments as they discuss practical solutions to:

  • Improve your training, education, and registrant oversight
  • Identify, prioritize and address gaps in compliance programs as risks and obligations evolve
  • Understanding the implications of rapidly changing market risks in the context of recent CSA guidance for Effective Liquidity Risk Management for investment funds
  • Anticipate and address expected regulatory changes in the near and short term

 

Develop and implement a truly optimized compliance program to meet your regulatory and business challenges