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


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





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