The compliance landscape is transforming – this conference is your action plan!
Cases of misconduct continue to surface and cost millions in fines & reputational damage. Regulators are cracking down. Don't be the next headline!
This once-a-year conference is the ONLY place where you can get all the necessary compliance updates for portfolio management firms.
Network with regulators and peers to recognize new trends in compliance. Gain key insights into what CSA, IFIC and the SEC are working on to stay on top of regulatory changes in Canada and the U.S. Take away strategies to improve client trust, eliminate marketing deficiencies, manage risks and opportunities, and prevent future misconducts.
Design a complete roadmap to your compliance function and develop key solutions.
Source key insights from these 15 leaders and regulators:
Hear from industry leaders and take away 12 practical benefits:
- Take away key updates directly from regulators and IFIC
- Safeguard your client's investments against custodian insolvency risk
- Prevent sanctions by avoiding key deficiencies in your marketing materials
- Build trust with prospects and clients to increase your bottom line
- Mentor your staff to build an effective compliance department
- Assess all your risks through an Enterprise Risk Management Framework
- Strengthen your third party due diligence program
- Develop your business continuity plan to avert potential disruptions
- Stay on top of the latest U.S. regulatory developments affecting your clients
- Identify fraud-prone inidividuals to better manage their behaviours
- Comply with dispute resolution requirement in NI 31-103
- Monitor outside business activities to avoid unexpected penalties or losses
Take away five ADDITIONAL benefits from this exclusive event:
- Face-to-face interaction with regulators
- Gain insights from more than 18 industry leaders, experts, and regulators
- Take away peer-to-peer strategies from 8 portfolio and fund managers
- Four structured networking times
- Take away presentation materials
Take advantage of this opportunity to source the latest regulatory updates and discover what your peers are doing; share your experiences and exchange ideas and strategies! If you want to meet with leaders in the field and form valuable alliances, this is your best opportunity of the year.
Ontario Securities Commission
Michael Sorbo CFA,
Manager Examinations, Capital Markets Regulations,
British Columbia Securities Commission
Partner, Sutherland Asbill & Brennan; (Former) Acting Director, Office of Compliance Inspections and Examinations,
Securities Exchange Commission (Washington)
Director, Operational Due Diligence & Chief Compliance Officer,
University of Toronto Asset Management