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EVENT DATE
Nov 2014
M T W T F S S
17181920212223
EXPO DATE
Nov 2014
M T W T F S S
17181920212223

Venue

Courtyard by the Marriott 475 Yonge Street
Toronto , QC M4Y 1X7
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Type: Indoor - Hotel

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Financial Service Registrant Compliance

Courtyard by the Marriott
B2B 25

EVENT DESCRIPTION

Highlights:

• Get up-to-date on key regulatory trends and priorities.
• Learn how to maintain an effective compliance program in an evolving environment
• Examine the impact of the CRM II and best practices for being prepared
• Explore recent actions and decisions of regulators, to better understand their priorities and expectations
• Study the derivative regulatory framework, focusing on the impact of the latest reforms on reporting requirements and compliance
• Uncover the higher standards being applied to exempt market securities dealers
• Examine the legal framework and practical impact of the statutory, common law and other responsibilities of dealers and advisers
• Get practical advice on meeting KYC & suitability obligations
• Hear practical discussion on addressing fraud schemes and unethical behaviour

Participants:

• Cassels Brock & Blackwell LLP
• Dentons
• Edward Jones Canada
• Equitable Bank
• Instinet Canada Limited
• Investment Industry Regulatory Organization of Canada (IIROC)
• ITG Canada Corp.
• Goldman Sachs
• McMillan LLP
• Norton Rose Fulbright Canada LLP
• Stonegate Private Counsel, a division of CI Private Counsel LP
• Torys LLP

If the Financial Service Registrant Compliance is important to your business, act now and make the appropriate connections. See the contact information below.

EVENT CONTACTS

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EVENT DETAILS

Primary Industry:
General Business
Other Industries:
Banking-Money-Finance, Business, General Business, Investment Seminars
Audience:
who should attend
Investment Fund & Portfolio Managers, Investment Advisers, Dealers; Financial Services Counsel, Corporate Secretaries,
Compliance & Finance VPs & Directors, CFOs, Controllers,
Chief Compliance Officers, Auditors; Regulators
Notes:
Show Owner:
Federated Press
Sponsorship:

Exhibitor Information +

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Show Owner
Federated Press
Show Manager
Danielle Delannoy
Exhibitor Prospectus

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