Conference · Toronto, Canada
Financial Service Registrant Compliance
Banking, Finance · General
Key numbers
- Editions on record
- 1first in 2014
About Financial Service Registrant Compliance
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
From our listing of this edition. Details may have changed since.
Editions
| Year | Dates | Where | Exhibitors | Visitors |
|---|---|---|---|---|
| 2014 | 19–20 Nov 2014 | Courtyard Toronto Downtown Toronto, Canada | — | — |
Past editions from the bvents archive (2008–2019) and organiser figures where they were published.
Questions
When is Financial Service Registrant Compliance?
The next dates haven't been confirmed. The last edition we have on record was 19–20 Nov 2014.
Where is it held?
The last edition we have was at Courtyard Toronto Downtown, Toronto, Canada.