2016 Conference - Panel Questions - CCLS Education Sub-Committee

2016 Annual Compliance Conference

This year, three of our session panels are soliciting your advance questions. Please complete and submit the survey below to submit your questions to out panels.

NEW OPPORTUNITIES AND CHALLENGES IN SUPERVISION - The panel will provide a review of various supervisory models in place involving corporate and producing Branch Managers for both MFDA and IIROC dealers. Additionally, the regulatory considerations of setting up this type of structure will be discussed. Enter your question(s) below for this panel discussion. *

AML FAQs…YOUR QUESTIONS ANSWERED. Sanjeev Dewett & Charles Gonzales discuss FINTRAC’s current mandate and provide additional insight on the finalized PCMLTFA. Additionally, you asked and here they are to answer some of your pressing AML questions. From expectations on cross-market trading obligations to the Panama Papers and everything in between. Enter your question below for this panel to discuss. *

ASK THE REGULATOR - please check which Regulator(s) your question is for and then enter your question below for this panel to discuss. *

Alberta Securities Commission Autorité des marchés financiers Ontario Securities Commission IIROC

Question for the Regulator(s): *

CRISIS MANAGEMENT - Natural disasters, floods, wildfires, large scale power outages, and other extraordinary business outages occur. What did firms learn following the Alberta Wildfires of 2016 and what should you consider for your disaster recovery planning? Please submit your questions for the panel to discuss. *

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