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Education Week
 
In place of the regular one-day Annual Conference, the CCLS Education Sub-Committee has put together a series of informative webinar sessions on various compliance topics. You can register for any combination of sessions at $25+HST per webinar.

We recognize that schedules vary. Because of this, we have booked sessions at various times throughout the week to accommodate as many attendees as we can. The schedule can be found below, with detailed descriptions of each event below.
 
 
Day Date Start Time End Time Webinar Title
Monday 5-Dec-22 11:00 AM 11:30 AM Keynote - Andrew Kriegler
Tuesday 6-Dec-22 8:30 AM 9:30 AM
Update from the CCOs
Thursday 8-Dec-22 12:00 PM 1:00 PM Update on Litigation Issues
Thursday 8-Dec-22 2:30 PM 3:30 PM Privacy, what’s new on the Horizon….
Friday 9-Dec-22 12:00 PM 1:00 PM
The Conflicts About Conflicts

 
Keynote - Andrew Kriegler
 
Keynote
 
Speaker:
  • Andrew Kriegler, President and CEO - Investment Industry Regulatory Organization of Canada (IIROC)
 

 
Update from the CCO’s
 
This panel will comment on the challenges of running a compliance department with practical tips for achieving compliance.
 
Speakers:
  • Julie Gallagher – CCO, iA Private Wealth
  • Mike Arthur – Executive Director and CCO, Morgan Stanley Wealth Management Canada Inc.
  • Bill Lyons – CCO, CIBC World Markets
 

 
Update on Litigation Issues
 
This panel will report on key recent civil and regulatory cases against, and developments impacting registrants and will include the impact of CFRs on regulatory enforcement and investor claims.
 
Speakers:
  • Charles Corlett – Vice-President, Enforcement, IIROC
  • David Di Paolo – Partner, Borden Ladner Gervais LLP
  • Gillian Dingle – Partner, Torys LLP
     

 
Privacy, what’s new on the horizon…
 
This informative and engaging webinar will focus on Quebec's new privacy law (Bill 64) and proposed changes to Canada's federal privacy legislation (Bill C-27). The panellists will discuss the legal and regulatory impacts of these changes and best practices for implementing a compliant privacy program.
 
Speakers:
  • Kris Klein – nNovation LLP
  • Shaun McIver – CEO, Vayle Inc.
  • Julie Himo  – Partner, Torys LLP
     

 
The Conflicts About Conflicts
 
Effective June 30, 2021, the Client Focused Reforms (NI 31-103 and IIROC Rules) required that material conflicts of interest be managed in the best interest of the client. On June 6, 2022, amendments to Registration Information (NI 33-109) came into force establishing a new framework for outside activities and codifying practices for dealing with those activities deemed positions of influence. Are the processes we’ve implemented really addressing the conflict? Or even before that, are we conflicted about the conflict? This dilemma is coming up more and more when it comes to outside activities for client-facing registrants.
 
Attendees will hear the perspective if dealers, compliance and legal professionals on identifying, managing and reporting outside activities. Through a series of questions and discussion points the panelists will provide practical solutions such that firms do not implement onerous processes that cannot be managed or do little to address the true conflict.
 
Area of discussion will include:
  • What is the conflict?
  • Where is the conflict?
  • Outside activities registrants typically engage in
  • Positions of influence
  • Why registrants fail to disclose outside activities
  • Are terms and conditions effective?
  • Are we expecting too much of supervisors?
  • Challenges with and keeping reporting up to date
  • The role of registrations and compliance departments
 
Speakers:
  • Wayne Bolton, Chief Compliance Officer, Edward Jones
  • Nick Cardinale, Chief Compliance Officer, RBC Wealth Management Canada
  • Kam Haleem, Director, PwC
  • Sean Shore, Canadian Compliance & Regulatory Law
 

 
Questions in advance are both encouraged and welcomed by the Panel. To submit a question, please email chair@clseducation.ca and indicate both your question and the session it applies to.

Date:    December 5 – 9, 2022

Time:    Refer to schedule above
 
Location: Live On-line Webinar – webinar links will be provided in advance of presentation

Cost:    $25.00 + HST per individual session

Payment:    Individual registrations, via credit card only.

Registration Deadline:    December 2, 2022 
 
To Register:    Registration links will be sent out via an updated notice and on http://www.clseducation.ca/upcoming-events.html.
 
We encourage you to submit a question or hypothetical events that you would like our speakers to address at this seminar, please use the space provided on the registration form or email chair@clseducation.ca.   All questions will be anonymous.
 
This session will not be taped for future dissemination.
 
We also invite you to bookmark our website, www.clseducation.ca, and check the Events pages frequently as information about dates and topics for our upcoming events will be posted there in advance of the invitations to register.  You can also subscribe to our mailing list at http://www.clseducation.ca/subscribe.html to ensure that you receive all of the notices for our events.
 
Housekeeping: "The views and opinions expressed in the upcoming presentation are those of the authors who are solely responsible for the content.  The views expressed may not necessarily reflect the views of IIROC, the Conduct, Compliance and Legal Section Executive Committee or of the CCLS Education Sub-Committee."
 
 
 
 
 
 
 
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