11th Annual Focus on Registrant Regulation Conduct & Compliance 2018 | Food Safety & Regulation Canada | 3 May 2018 | Sheraton Centre Toronto, 123 Queen St W, Toronto, ON M5H 2M9, Canada

Given the scope of the Fintech changes and the CSA proposals on best interest standards, this year is not the time to fall behind your implementation schedule. From best interest standards to the reform on mutual fund fees, the upcoming regulations are likely to leave you no time to play catch-up.

Hear from the top regulators in the country and stay on top of your compliance process.

Designed for all categories of registrant, take back to your office strategies to:
Improve your compliance culture
Enable your Fintech strategy
Implement AML amendments
Perfect your reporting under CRM2
Protect against cyber threats

Who You'll Meet
• 71% Investment Fund and Portfolio Managers, Dealers and Advisors
• 8% Regulators
• 11% Lawyers
• 10% Others

Top 5 Reasons to Attend

• Exclusive updates and Q&A with OSC, AMF, BCSC, and ASC
Back by popular demand, this prestigious event will host the Regulators Panel. Get direct information and feedback from key regulators, all in one place, at one time.

• Strategies to navigate the fintech’s regulatory framework
Fintech is a promising avenue filled with regulatory hurdles. Enable your firm’s digital transformation by ensuring its compliance to fast changing regulations

• In-depth breakout sessions for all categories of registrants
Unique to this marquee event, source knowledge most pertinent to your firm at interactive breakouts for investment fund managers/portfolio managers vs. exempt market dealers. Get practical tips from IIROC, MFDA, NEMA, PCMA, PMAC, IFIC and many others.

• Solve your Regulatory challenges with your peers in highly interactive sessions
Share insights on the impact of CRM2 on your customers to improve your reporting. Enjoy 5+ hours of interactive sessions to discuss your regulatory challenges and share best practice with your peers.

• Insights and relationships to help you achieve compliance excellence
This event is your foremost source of information focused on registrants’ requirements, compliance and emerging trends affecting your business. From CRM2 to taxation to robo-advisors and equity crowdfunding exemptions, this event covers it all. Meet and build relationships with regulators, industry associations, legal experts, and fellow compliance peers.

2018 Speakers

Goshka Folda
President And Ceo, Investor Economics

David Tittsworth
Counsel, Ropes & Gray Llp And Former President And Ceo, Investment Adviser Association For (Iaa)

Zach Masum
Manager, Legal Services, Bcsc

Charyl Galpin
Chief Regulatory Officer, Wealth Management, Bmo Financial Group

Brian Koscak
President, Chief Compliance Officer & General Counsel, Pinnacle Wealth Brokers Inc.

Kuno Tucker
Director, Chief Compliance Officer, Itg Canada

Prema K. R Thiele
Partner, Borden Ladner Gervais Llp

Andrew Ma
Chief Compliance Officer, Foregrowth Inc.

Rebecca Cowdery
Partner, Borden Ladner Gervais

Jason Alcorn
Senior Legal Counsel, New Brunswick's Financial And Consumer Services Commission

Marc-olivier St-jacques
Senior Policy Advisor, Autorité Des Marchés Financiers

Inya Ivkovic
Vice President, Compliance, State Street Global Advisors

Julie Cordeiro
Vice President, Head Of Legal & Compliance, Burgundy Asset Management

Amy Tsai
Senior Regulatory Adviser, Osc

Keith Costello
President And Ceo, Canadian Institute Of Financial Planners

Janet Salter
Senior Policy Advisor, Ific

Minal Upadhyaya
Vp Policy And General Counsel, Ific

Michael Alger
Product Manager, Starcompliance

Dave Malone
Vp Business Initiatives, Rbc Wealth Management Canada

Ameeta Vijay
Chief Compliance Officer, Svx, Mars Centre For Impact Investing

Andrew Patrick White
Founder & Ceo, Fundapps

Mark Franko
Manager, Legal, Market Regulation, Asc

Miroslav Petrov
Product Director And Co-founder, Fortia Financial Solutions

Kornelija Podstreleni
Sr. Manager, Business Initiatives, Rbc

Charlene Cieslik
Chief Anti-money Laundering Officer, Coinsquare

David Surat
Corporate Finance, Senior Legal Counsel, Ontario Securities Commission

Peter Dunne
Partner, Miller Thompson Lla

Maria Carelli
Senior Accountant, Compliance & Registrant Regulation, Ontario Securities Commission

Erez Blumberger
President, Aum Law

Jason Streicher
Senior Legal Counsel, Aum Law

Stephen Rotstein, Ba, Ll.b., Cic.c
Vice-president, Policy & Regulatory Affairs & General Counsel, Fpsc

2017 Speakers:

Benjamin Bernal Diaz
Director, Regulatory Compliance - Operational Risk and Governance | Global Risk Management – IT, ScotiaBank

Martha Kane
Chief Compliance Officer, Capital Direct

John Mountain
Director, Investment Funds & Structured Products, OSC

Marie Claude Lepage
Chief Compliance Officer, BNY Mellon Wealth Management

Tushar Pai
VP, Compliance and Chief Compliance Officer, Stonegate Private Counsel

Prema K. R Thiele
Partner, Borden Ladner Gervais LLP

Andrew Ma
VP, Compliance, Timbercreek Asset Management

Pat Choukos
Manager, Ontario Securities Commission

Alexander Daschko
Chief Compliance Officer & Chief Administrative Officer, Cygnus Wealth Management

Belle Kaura
Vice President Legal and Chief Compliance Officer, Third Eye Capital

Catherine Chamberlain
Head of Legal and Compliance, Vanguard Investments

Brian Pynn
Chief Compliance Officer, ATB Investors Services

Dannielle Macdonald
Chief Compliance Officer, Nicola Wealth Management

David Balson
Chief Compliance Officer, Harvest Portfolios Group Inc.

Julie A. Clarke
Vice Chair, PCMA

Kevan Cowan
CEO, Capital Markets Authority Implementation Organization

Kevin Doherty
AVP Anti Money Laundering, Global Wealth and Insurance, TD Wealth

Marie Claude Lepage
Chief Compliance Officer, BNY Mellon Wealth Management

Martha Kane
Chief Compliance Officer, Capital Direct

Matthew Irwin
Chief Compliance Officer, Ewing Morris & Co. Investment Partners

Michael Burns
Chair- Executive Committee, AIMA

Michelle Alexander
Vice President and Corporate Secretary, IIAC

Nadine Milne
Chief Compliance Officer, Portland Investment Counsel

Paula Amy Hewitt
Senior Vice President, Macquarie Capital Markets Canada

Supriya Kapoor
Chief Compliance Officer, West Face Capital Inc

Rebecca Cowdery
Partner, Borden Ladner Gervais

Debra Thuet
Compliance Manager, Nest Wealth

Michael Holder
Chief Compliance Officer, Wealth Simple

Elizabeth King
Deputy Director - Compliance and Registrant Regulation, Ontario Securities Commission

Robert Young
Managing Principal, The Jersey Company

Eric Adelson
Senior Vice-President, Legal; Head of Legal, INVESCO

Sandra Blake
Vice-President, Business Conduct Compliance, IIROC

Ronald K. Kosonic
Partner, Borden Ladner Gervais

Neville Joanes
Chief Compliance Officer, WealthBar

Hugo Lacroix
Senior Director - Investment Funds, AMF

Jennifer Fiddian-Green
Partner, Grant Thornton LLP

John van Kralingen
VP, Sales & Client Management, Univeris

Richard Binnendyk
Executive Vice President, Enterprise Wealth Management, Univeris

2018 Sponsors

GOLD:
• FUNDDAPPS
STAR COMPLIANCE
• CO Fortia
• strategic insight

BRONZE:
• AUM LAW

ASSOCIATION PARTNER:
• AIMA
• IFIC
• NSCP
• COMPLIANCE SEARCH GROUP
• Federation of Mutual Fund Deaiers
• CANADIAN ASSOCIATION OF ALTERNATIVE STRATEGIES & ASSETS