This session discusses key enforcement trends and areas of focus including crypto assets, complaint handling, investor restitution, and suitability. The session also touches on supervision enforcement investigation procedures including document production, settlement procedures, practices, credit for co-operation and early resolution offers.
This session covers:
- OSC, AMF, IIROC and MFDA data on complaints, enforcement actions
- IIROC early resolution offer program and how firms can work with IIROC
- Procedural changes
- Crypto platforms
- Important recent decisions
This session is eligible for 1.5 Compliance credits from IIROC accreditations.
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 – Enforcement
Ontario Securities Commission (OSC)
Charles Toth
Vice-President – Enforcement
Mutual Fund Dealers Association of Canada (MFDA)
François Lanthier
Senior Director – Investigations
Autorité des marchés financiers (AMF)
Modérateur
Laura Paglia
President and CEO
Investment Industry Association of Canada (IIAC)
