Financial Service Registrant Compliance 2014

Highlights:

• Get up-to-date on key regulatory trends and priorities.
• Learn how to maintain an effective compliance program in an evolving environment
• Examine the impact of the CRM II and best practices for being prepared
• Explore recent actions and decisions of regulators, to better understand their priorities and expectations
• Study the derivative regulatory framework, focusing on the impact of the latest reforms on reporting requirements and

compliance
• Uncover the higher standards being applied to exempt market securities dealers
• Examine the legal framework and practical impact of the statutory, common law and other responsibilities of dealers and

advisers
• Get practical advice on meeting KYC & suitability obligations
• Hear practical discussion on addressing fraud schemes and unethical behaviour

Participants:
• Cassels Brock & Blackwell LLP
• Dentons
• Edward Jones Canada
• Equitable Bank
• Instinet Canada Limited
• Investment Industry Regulatory Organization of Canada (IIROC)
• ITG Canada Corp.
• Goldman Sachs
• McMillan LLP
• Norton Rose Fulbright Canada LLP
• Stonegate Private Counsel, a division of CI Private Counsel LP
• Torys LLP