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Thank you for making our 2013 Annual CLS Conference a success!

2013 Annual Compliance Conference -
  • Read or download the Conference Agenda here
  • Read or download the Speaker biographies here
  • Download the Speaker presentations here

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
Bluetooth USB Speakers, donated by TMX:
  • Carl Dubicki, Edward Jones
  • Cindy Kennedy, ScotiaMcLeod
  • Patty Lampropoulos, CIBC Wood Gundy
  • Sherry Usami, ScotiaMcLeod
  • Karen Rahian, Manulife Financial
  • David Wright, IIROC
Winners of LCBO gift cards (drawn from post-conference surveys):
  • Luke Tanur, PureFacts
  • Wendy Sieukaran, TD Wealth
  • Jane Smith, Beacon Securities

Speaker Presentations:

William Rice - Keynote address
File Size: 72 kb
File Type: pdf
Download File

Third Party Access - DMA Electronic Trading Rules
File Size: 457 kb
File Type: pdf
Download File

Compliance Conflicts Challenge - Scenario Outline
File Size: 353 kb
File Type: pdf
Download File

IIROC Enforcement Update - Trends Approaches Expectations
File Size: 190 kb
File Type: pdf
Download File

OTC Derivatives and Canada - The future is now
File Size: 432 kb
File Type: pdf
Download File

CRM2 - A primer on implementation
File Size: 405 kb
File Type: pdf
Download File

Fraud & information security - business preparedness
File Size: 698 kb
File Type: pdf
Download File

Gavin Tighe - Comments on a statutory best interest duty for advisors and dealers
File Size: 223 kb
File Type: pdf
Download File

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