This session is eligible for 2.25 Compliance credits and 3.75 Professional Development credits from IIROC accreditations.
Session 1: The Regulators Speak
This panel will take us behind the curtain of their respective regimes, providing insight into their areas of focus for the coming year. They will talk about their observations over the past year, their biggest pain points and will tackle common misconceptions they encounter. Whether firms are smaller registrants of a single regulator or larger integrated firms subject to overlapping regulatory regimes, delegates will be imparted with important messages these regulators want you to know
Director – Compliance & Registrant Regulation
Senior Director – Prudential Supervision
Senior Director – Non-Financial Risk
Session 2: Outsourcing and Third-Party Risk Management
Investment firms outsource. Whether it is trade order management systems, back-office providers, call engagement centres or statement production, firms depend on third parties to help execute their functions. What are the risks and how can they be managed effectively? This podcast style session will tell you what you need to know!
Session 3: Sales Practices
National Instrument 81-105 is one of the briefest rules in our industry, but since inception has continued to be one of the most controversial. Having trouble with interpretations? Been subject to scrutiny? This panel will offer experienced insights and colourful anecdotes from some of the industry’s most seasoned CCOs to help attendees navigate this topic within their own firms.
Partner and Deputy General Counsel
Vice President & CCO
Head – Legal & Compliance, Americas
Senior Vice President, Head – Legal and Compliance
Session 4: Creating an Integrated Compliance Program – Can your shop be one-stop?
With finite resources, increasing demands and constantly evolving priorities, how do CCOs effectively integrate AML, Privacy, and other key oversight requirementsinto their programs? This panel of seasoned professionals will help delegates get the most out of what they have
Managing Director, Country Head – Compliance & Operational Risk (Canada)
Bank of America
Partner – Risk Consulting & Financial Crimes
Managing Director – Risk & Compliance
Session 5: Fireside Chat – Good Governance and Conflicts of Interest
It’s been more than 20 years since the publication of “Making it Mutual: Aligning the Interests of Investors and Managers: Recommendations for a Mutual Fund Governance Regime for Canada”, and the precursor to National Instrument 81-107. The regulatory pendulum has been swinging on this topic, so we thought the timing was right to hear from the author of the CSA Commissioned report. We will discuss the genesis of his publication, his findings and, by examining current areas of regulatory focus, whether the report recommendations came to fruition.
President & CEO
Independent Review Inc.
Managing Director – Investment Management
Author of “Making it Mutual: Aligning the Interests of Investors and Managers: Recommendations for a Mutual Fund Governance Regime for Canada”
Partner – Investment Management
Session 6: Management, The Board and Disclosure
How should CCO’s best report in order to meet the expectations of Management, The Board and the Regulators? An expert in Law and Business with a long career as a Chief Compliance Officer, Ilona Niemi will walk us through a practical session of what works, what doesn’t, and ultimately how to build effective reporting and be seen as a trusted partner by your Board.
Advisory Council for Law & Business at Ted Rogers School of Management
Session 7: Risk, Compliance, Legal and Audit
A main tenet of any control function is the maintenance of independence and objectivity. Yet, there is an abundance of overlap between the four key control functions. Defining accountabilities and maintaining role clarity between Risk, Compliance, Legal and Audit is critical, but so is ensuring that that messages and escalations are harmonized, all while controls are appropriately reviewed and oversight is accurately reported. This panel will help delegates understand how to ensure the knot of control is untangled.
Managing Director – Investment Management
Sr. Associate General Counsel
Senior Vice President – Internal Audit
Chief Risk Officer
Laurentian Bank of Canada