Strategy Institute’s 7th Annual Registrant Regulation Conduct & Compliance Event
Date: Apr 29-30, 2014
Location: Trump Tower & Hotel, 325 Bay Street, Toronto, ON
Hear directly from the regulators. Get your firm ready for regulatory changes.
- Gain perspectives from provincial regulators on issues such as compliance, CRM and fiduciary duty.
- Learn to utilize technology solutions to compliance challenges.
- Understand the psychology behind unethical behaviour and be aware of warning signs of misconduct.
- Take away new insights on how FATCA affects Canadian firms.
Key speakers:
Debra Foubert
Director Compliance and Registrant Regulation Branch, OSC
Sandra Jakab
Director, Capital Markets Regulation, British Columbia Securities Commission
Doug Brown
General Counsel and Director, The Manitoba Securities Commission
Christopher Jepson
Senior Legal Counsel, Compliance & Registrant Regulation, Ontario Securities Commission
Joanne De Laurentiis
President and CEO, IFIC
For more information and to register please click here.
IIAC members receive a 20% discount
VIP discount code for IIAC members – IIAC20