Event Wizard® by DotCom Your Event Inc.®
 
Date:
 
Thursday, March 31, 2022
 
Location:
 
Vantage Venues Conference Centre, 150 King St. West, 27th Floor, Toronto
 
Time:
 
7:30 am to 10:00 am ET
 
 
 
Join us for this in-person even on Thursday, March 31, 2022 to hear directly from a panel of regulators and enforcement experts on:
 
  • Key areas of enforcement activity and statistics (including KYC, suitability, concentration, and judgment calls)
  • Document production requests and practices
  • Prior document disclosure
  • Settlement practices and early resolution offers

*CE Credits Pending Approval

 

Introduction:

Diane Tom | Vice-President, Regulatory Strategy and Business Development | Broadridge Financial Solutions

Panelists:

Charles Corlett | Vice-President, Enforcement | Investment Industry Regulatory Organization of Canada (IIROC)

Jeff Kehoe | Director of Enforcement | Ontario Securities Commission (OSC)

Charles Toth | Vice-President, Enforcement | Mutual Fund Dealers Association of Canada (MFDA)

François Lanthier | Senior Director of Investigations | Autorité des marchés financiers (AMF) will participate remotely

Moderator: Laura Paglia | President and CEO | Investment Industry Association of Canada (IIAC)

Concluding remarks:

Diane Tom | Vice-President, Regulatory Strategy and Business Development | Broadridge Financial Solutions

 

 

For sponsorship information, please contact publicaffairs_affairespubliques@iiac.ca.
 
Dress Code - Business Casual
 
 
Protected by Sectigo SSL
Share on LinkedIn
Share on Twitter
Share on Facebook
Share this Event