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In Person Breakfast: Enforcement Trends – Insights from the Regulators

March 31, 2022 | 7:30 am – 10:00 am ET

Registration and Breakfast: 7:30 am

Start time: 8:30 am

End time: 10:00 am

$60 members; $75 non-members

Location: Vantage Venues Conference Centre, 150 King St. West, 27th Floor, Toronto

 

Join us for this in-person event on Thursday, March 31, 2022 to hear directly from a panel of regulators on:

o   Key enforcement trends and areas of focus including:

      • Crypto assets
      • Complaint handling
      • Investor restitution
      • Suitability
      • Supervision

o   Enforcement investigation procedures including:

      • Document production
      • Settlement procedures, practices
      • Credit for Co-operation and early resolution offers

Introduction:

Diane Tom | Vice-President, Regulatory Strategy and Business Development | Broadridge Financial Solutions

Panelists:

Charles Corlett | Vice-President, Enforcement | Investment Industry Regulatory Organization of Canada (IIROC)

Jeff Kehoe | Director of Enforcement | Ontario Securities Commission (OSC)

Charles Toth | Vice-President, Enforcement | Mutual Fund Dealers Association of Canada (MFDA)

François Lanthier | Senior Director of Investigations | Autorité des marchés financiers (AMF) will participate remotely.

Moderator: Laura Paglia | President and CEO | Investment Industry Association of Canada (IIAC)

 

*** This session may be eligible for CE credits ***

 

Click HERE to register

 

THANK YOU TO OUR GOLD SPONSOR

 

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