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In Person Event: Wealth Compliance Symposium – Staying Ahead of the Curve

 

 

 

 

 

 

April 28, 2022 | 8:00 am – 4:30 pm ET

Registration and Breakfast: 8:00 am

Start time: 8:50 am

End time: 4:30 pm

$245 members; $295 non-members

Location: Toronto Region Board of Trade, Lennox Hall, First Canadian Place, 77 Adelaide St. West, Toronto

CLICK HERE TO VIEW THE FULL AGENDA

Join us on Thursday, April 28, 2022 for this in-person event to hear perspectives on hot-button issues impacting compliance professions in Canada’s securities industry. Network with peers and industry experts.

Topics for Discussion

    • The Future of Wealth Compliance Technology
    • The Role of Behavioural Science in Compliance
    • IIROC and MFDA Regulatory Integration Update
    • Re-Imagined Client Communications – New Legal and Compliance Challenges
    • Cryptocurrency – It Is Here and Clients Want It. What Now?
    • Chief Compliance Officers Roundtable – Hot Topics and What Keeps Them Up At Night

Confirmed Speakers

Giles Anderson | Vice President, Digital Asset Sales and Relationship Management | Fidelity Clearing Canada

Naomi Bartlett | Senior Vice President and Chief Compliance Officer | IGM Financial Inc.

Wayne Bolton | Principal, Compliance | Edward Jones

Denise Carson | Chief Compliance Officer – BMO Private Investment Counsel Inc., BMO Asset Management Inc. and BMO Investments Inc. | BMO Financial Group

Geraldo Ferreira | Senior Vice-President, Head of Investment Products & Manager Oversight | CI Investment Management

Tyler Fleming | Director, Investor Office | Ontario Securities Commission

Margaret Gunawan | Managing Director – Head of Canada Legal & Compliance | BlackRock Asset Management Canada Limited (BlackRock Canada)

Louise Hamel | Vice President, Business Conduct Compliance | Investment Industry Regulatory Organization of Canada (IIROC)

Jasmin Jabri | Managing Director | Investment Industry Association of Canada (IIAC)

Donald McElligott | Vice President – Compliance Supervision | Global Relay Communications Inc.

Karen McGuinness | Senior Vice-President, Member Regulation – Compliance | Mutual Funds Dealers Association of Canada

Parham Nasseri | Vice President, Regulatory Strategy & Partnerships | InvestorCOM Inc.

Laura Paglia | President and Chief Executive Officer | Investment Industry Association of Canada (IIAC)

Jacqueline Sanz | Managing Director and Canada Lead, Risk and Compliance Solution | Protiviti Inc.

Sean Shore | Legal & Compliance Professional | Canadian Compliance & Regulatory Law

Christina Soares | Chief Compliance Officers & Head of Business Integrity | Aligned Capital Partners Inc.

Evan Thomas | Head of Legal | Wealthsimple Crypto

Kuno Tucker | Global Chief Compliance Officer | Coinsquare

Paige Wadden | Chief Compliance Officer and VP, Risk Oversight | Fidelity Clearing Canada

John Waldron | Founder | Learnedly Canada Inc.

Adrian Walrath | Director | Investment Industry Association of Canada (IIAC)

Sam Webster | President | PortfolioAid Inc.

Lori Weir | CEO and Co-Founder | Four Eyes Financial

Irene Winel | Senior Vice-President, Member Regulation and Strategy | Investment Industry Regulatory Organization of Canada

 

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

 

Click HERE to register

 

THANK YOU TO OUR SPONSORS

 

 

Lunch Sponsor

 

 

Breakfast Sponsor

Morning Break Sponsor

 

Afternoon Break Sponsor

 

Supporting Sponsors

 

 

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