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
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
Morning Break Sponsor
Afternoon Break Sponsor