Thank you for making our 2013 Annual CLS Conference a success!
2013 Annual Compliance Conference -
Congratulations to all of the draw winners at the conference:
Platinum Sponsor draws:
- iPad Air, courtesy of SmartenUp Institute, Susan Copeland, IIAC
- iPad Mini, courtesy of Global Relay, Catherine Wiley, Manulife
- Carl Dubicki, Edward Jones
- Cindy Kennedy, ScotiaMcLeod
- Patty Lampropoulos, CIBC Wood Gundy
- Sherry Usami, ScotiaMcLeod
- Karen Rahian, Manulife Financial
- David Wright, IIROC
- Luke Tanur, PureFacts
- Wendy Sieukaran, TD Wealth
- Jane Smith, Beacon Securities
Speaker Presentations:
| William Rice - Keynote address |
| Third Party Access - DMA Electronic Trading Rules |
| Compliance Conflicts Challenge - Scenario Outline |
| IIROC Enforcement Update - Trends Approaches Expectations |
| OTC Derivatives and Canada - The future is now |
| CRM2 - A primer on implementation |
| Fraud & information security - business preparedness |
| Gavin Tighe - Comments on a statutory best interest duty for advisors and dealers |