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• 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


• 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.

All information in Events In America is deemed to be accurate at the time we add it, and we take steps to verify all details and update our records when new information is provided, but as people, events and circumstances change, we caution users to independently confirm all information. and Events In America LLC make no guarantee of accuracy and assume no liability for inaccurate information.

Conference/Event Dates: 11/19/2014 - 11/20/2014
Conference/Event Hours: 9:00 AM to 5:00 PM
Classification: B2B
Primary Industry: General Business
Other Industries: Banking-Money-Finance, Business, General Business, Investment Seminars
Estimated Attendance: 25
Previous Attendance: 25
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
Venue: Courtyard by the Marriott
Venue Phone: (800) 363-0722 x221
Venue Type: Indoor - Hotel
Show Owner:Federated Press
Show Manager:Danielle Delannoy
Exhibitor Prospectus:Click Here

Booth Size Booth Cost   Available Amenities
Call for Information   Electricity: n/a
  Water: n/a
  Generator: n/a
  Marketing Vehicles Allowed: Call
Other Booth Sizes Available: n/a

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