Kat Szybiak

Senior Legal Counsel, Compliance and Registrant Regulation

Kat Szybiak, B.A., LL.B, LL.L.

Kat Szybiak is senior legal counsel on the Portfolio Manager team in the Compliance and Registrant Regulation Branch of the Ontario Securities Commission (OSC). Since joining the OSC in 2012, she has participated in numerous regulatory policy projects, which relate to investment fund manager, dealer and adviser registration requirements and obligations. She is currently the project lead for the CSA’s Client Focused Reforms Implementation Committee.

Prior to joining the OSC, Kat held the position of Vice President, Legal at an investment fund manager firm/portfolio manager for over two years. Before working in industry, she was a senior associate at McCarthy Tétrault LLP. She attended McGill University (B.A.) and the University of Ottawa (LL.B and LL.L.). She is a member of the Law Society of Ontario and the Barreau du Québec.


All Sessions by Kat Szybiak

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Day 1: Jun 17, 2020

11:10 am

11:10 am

Keynote Address

CSA Panel on Client-Focused Reforms Increase your Understanding of Recent Regulatory Enhancements to Build an Effective Compliance Program

Senior and experienced representatives from Canada’s regulators discuss their policy objectives and regulatory expectations focusing on the Client-Focused Reforms. Share  your questions in advance to clarify expectations, ask what will be coming in the near future and enhance your compliance strategies. Source exclusive insights to:

  • Comply with new regulations and meet expectations
  • Determine what will be new for 2021 and beyond, and the timeline for any new projects or considerations
  • Align your compliance strategy to meet regulators’ objectives

Clarify the expectations of provincial regulators to improve your compliance

Day 2: Jun 18, 2020