2017 Breakfast Seminars
February 16th, 2017
Conflicts of Interest & the Challenges they Present
This seminar covered both the Retail and Institutional capital markets areas, including Outside Business Activities, Personal Financial Dealings and Referral Arrangements.
Speakers:
Conflicts of Interest & the Challenges they Present
This seminar covered both the Retail and Institutional capital markets areas, including Outside Business Activities, Personal Financial Dealings and Referral Arrangements.
Speakers:
- Kelley J. Hoffer, Chief Compliance Officer & Managing Director, RBC Capital Markets, Vice President, RBC Regulatory Compliance
- Susan Eapen, Director, Compliance, Fund Manager, Investment & Corporate Banking, The Bank of Nova Scotia
- Ilana Singer, Vice-President & Corporate Secretary, Canadian Investor Protection Fund
| Q & A - Answers to submitted questions not dealt with during the presentation.pdf |
| CLS Conflict of Interest presentation.pdf |
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May 9th, 2017
The Future (if any?) of Embedded Commissions
John Mountain and Michelle Alexander will have an interactive session (moderated by John Fabello) in which they will explore the past, present and possible future of embedded commissions, including the status and implications of CSA Consultation Paper 81-408: Consultation on the Option of Discontinuing Embedded Commissions (January 10, 2017). This promises to be a lively and dynamic session covering regulator and industry perspectives on this current and evolving issue and its practical impact for dealers and compliance professionals.
Speakers:
The Future (if any?) of Embedded Commissions
John Mountain and Michelle Alexander will have an interactive session (moderated by John Fabello) in which they will explore the past, present and possible future of embedded commissions, including the status and implications of CSA Consultation Paper 81-408: Consultation on the Option of Discontinuing Embedded Commissions (January 10, 2017). This promises to be a lively and dynamic session covering regulator and industry perspectives on this current and evolving issue and its practical impact for dealers and compliance professionals.
Speakers:
- Michelle Alexander, Vice President and Corporate Secretary, Investment Industry Association of Canada
- John Fabello, Partner, Torys, LLP
- John Mountain, Director, Investment Funds and Structure Products, Ontario Securities Commission
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June 1st 2017
Debt Reporting (MTRS 2.0) and Fair Pricing
A discussion on fixed income reporting that will focus on the types of alerts reviewed by IIROC, issues that have been encountered and the expectations placed upon Phase 1 and Phase 2 dealers. Additionally, the seminar will discuss how reporting dealers have been treating the issues and how the change has affected pricing and liquidity of fixed income products.
Speakers:
Debt Reporting (MTRS 2.0) and Fair Pricing
A discussion on fixed income reporting that will focus on the types of alerts reviewed by IIROC, issues that have been encountered and the expectations placed upon Phase 1 and Phase 2 dealers. Additionally, the seminar will discuss how reporting dealers have been treating the issues and how the change has affected pricing and liquidity of fixed income products.
Speakers:
- Mike Prior, Vice President, Surveillance, Investment Industry Regulatory Organization of Canada
- Joey Mack, Director, Fixed Income, GMP Securities L.P
- Stewart Hunt, Vice President, Trade Floor Supervision, BMO Capital Markets
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Montreal, QC - Breakfast Seminar:
June 15th, 2017
Trade Conduct Compliance Exams: What Dealers (executing or otherwise) need to know about Supervision
Speakers:
Lafleche Montreuil, Director, Trading Desk, Desjardins Securities
Sylvain Racine, Chief Compliance and Risk Officer, Mirabaud Canada Inc.
Nadyne McConkey, Vice President, FM Compliance, National Bank Financial
Lise St-Onge, Manager, Trading Conduct Compliance, IIROC
Brent McLellan, Trading and Business Conduct Examiner, IIROC
June 15th, 2017
Trade Conduct Compliance Exams: What Dealers (executing or otherwise) need to know about Supervision
- Scope of the application of UMIR (best execution, etc.) for non-executing brokers
- The reliance of dealer members on the supervision conducted by their executing brokers
- Regulatory and industry expectations regarding TCC inspections of non-executing brokers
- The evolution of UMIR (7.1) towards a principle-based approach for supervision of trading activities
- The current state of supervision regimes of executing vs non-executing dealer members
Speakers:
Lafleche Montreuil, Director, Trading Desk, Desjardins Securities
Sylvain Racine, Chief Compliance and Risk Officer, Mirabaud Canada Inc.
Nadyne McConkey, Vice President, FM Compliance, National Bank Financial
Lise St-Onge, Manager, Trading Conduct Compliance, IIROC
Brent McLellan, Trading and Business Conduct Examiner, IIROC
| CLS Trade Conduct Compliance Exams.pdf |
September 25, 2017
Toronto, ON - after the close seminar:
“There’s No Money Laundering Here!”
This is the sentence our regulator never wants to hear, likely because it’s incorrect. Vulnerabilities with securities markets participants everywhere are often exploited for money laundering gains. Our panel, of specialized money laundering experts will walk participants through real life securities based money laundering situations. They will highlight the vulnerabilities exploited by money launderers, the red flags exhibited through their schemes, and how your firm can change your policies, processes, systems and provide training to help detect and prevent money laundering.
Speakers:Cameron Field, Manager, Strategic Initiatives, Enterprise AML Office, BMO Financial Group
Matt McGuire, AML/CTF and Sanctions Advisor, The AML Shop
Vladimir Shatiryan, Associate, Blake, Cassels & Graydon LLP.
Toronto, ON - after the close seminar:
“There’s No Money Laundering Here!”
This is the sentence our regulator never wants to hear, likely because it’s incorrect. Vulnerabilities with securities markets participants everywhere are often exploited for money laundering gains. Our panel, of specialized money laundering experts will walk participants through real life securities based money laundering situations. They will highlight the vulnerabilities exploited by money launderers, the red flags exhibited through their schemes, and how your firm can change your policies, processes, systems and provide training to help detect and prevent money laundering.
Speakers:Cameron Field, Manager, Strategic Initiatives, Enterprise AML Office, BMO Financial Group
Matt McGuire, AML/CTF and Sanctions Advisor, The AML Shop
Vladimir Shatiryan, Associate, Blake, Cassels & Graydon LLP.
Thursday, November 2, 2017
Protection for investors and depositors in the Canadian brokerage/banking industry
A presentation on CIPF and CDIC. Our panelists focused on the type of coverage offered, review disclosure requirements and provided examples of times they were called upon to protect clients.
Speakers:
Ilana Singer, Vice President and Corporate Secretary, CIPF
Dean Cosman, Senior Vice-President, Insurance and Risk Assessment, CDIC
John Fabello, Partner, Torys LLP
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