Wealth Compliance Symposium – Staying Ahead of the Curve 2022 | IIAC - Investment Industry Association of Canada | 28 April 2022 | Toronto Region Board of Trade, 77 Adelaide Street West, Toronto, ON M5X 1C1, Canada
Venue
Toronto Region Board of Trade
Toronto Region Board of Trade, 77 Adelaide Street West, Toronto, ON M5X 1C1, Canada
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| Event Date | Thu Apr 28 EDT (over 2 years ago) |
| Location |
Toronto Region Board of Trade
77 Adelaide Street West, Toronto, ON M5X 1C1, Canada |
| Region | Americas |
Details
Join us for this in-person event to hear perspectives on hot-button issues impacting compliance professions in Canada’s securities industry. Network with peers and industry experts.
Topics for Discussion:
• The Future of Wealth Compliance Technology
• The Role of Behavioural Science in Compliance
• IIROC and MFDA Regulatory Integration Update
• Re-Imagined Client Communications – New Legal and Compliance Challenges
• Cryptocurrency – It Is Here and Clients Want It. What Now?
• Chief Compliance Officers Roundtable – Hot Topics and What Keeps Them Up At Night
Speakers
2022 Speakers
Giles Anderson
Vice President, Digital Asset Sales and Relationship Management, Fidelity Clearing Canada
Naomi Bartlett
Senior Vice President and Chief Compliance, IGM Financial Inc.
Wayne Bolton
Principal, Compliance, Edward Jones
Denise Carson
Chief Compliance Officer – BMO Private Investment Counsel Inc., BMO Asset Management Inc. and BMO Investments Inc., BMO Financial Group
Geraldo Ferreira
Senior Vice-President, Head of Investment Products & Manager Oversight, CI Investment Management
Tyler Fleming
Director, Investor Office , Ontario Securities Commission
Margaret Gunawan
Managing Director – Head of Canada Legal & Compliance | BlackRock, Inc.
Louise Hamel
Vice President, Business Conduct Compliance, Investment Industry Regulatory Organization of Canada (IIROC)
Jasmin Jabri
Managing Director, Investment Industry Association of Canada (IIAC)
Donald McElligott
Vice President – Compliance Supervision, Global Relay Communications Inc.
Karen McGuinness
Senior Vice-President, Member Regulation – Compliance, Mutual Funds Dealers Association of Canada
Parham Nasseri
Vice President, Regulatory Strategy & Partnerships, InvestorCOM Inc.
Laura Paglia
President and Chief Executive Officer, Investment Industry Association of Canada (IIAC)
Jacqueline Sanz
Managing Director and Canada Lead, Risk and Compliance Solution, Protiviti Inc.
Sean Shore
Legal & Compliance Professional, Canadian Compliance & Regulatory Law
Christina Soares
Chief Compliance Officers & Head of Business Integrity, Aligned Capital Partners Inc.
Evan Thomas
Head of Legal, Wealthsimple Crypto
Kuno Tucker
Global Chief Compliance Officer, Coinsquare
Paige Wadden
Chief Compliance Officer and VP, Risk Oversight, Fidelity Clearing Canada
John Waldron
Founder, Learnedly Canada Inc.
Adrian Walrath
Director, Investment Industry Association of Canada (IIAC)
Sam Webster
President, PortfolioAid Inc.
Lori Weir
CEO and Co-Founder, Four Eyes Financial
Irene Winel
Senior Vice-President, Member Regulation and Strategy, Investment Industry Regulatory Organization of Canad
Sponsors & Partners
2022 Sponsors
LUNCH SPONSOR:
• Fidelity Investments
BREAKFAST SPONSOR:
• Portfolio Aid
MORNING BREAK SPONSOR:
• Four Eyes
AFTERNOON BREAK SPONSOR:
• National Bank Independent Network
SUPPORTING SPONSORS:
• Investorcom
• Learnedly
• Protiviti