2020 Seminars
Breakfast Seminar : February 18, 2020, Toronto
Client Focused Reforms (CFR), Out With The Old……..In With The New(ish?)
Before you attend yet another project meeting on conflicts of interest, KYC, KYP etc., join us to hear about practical implementation frameworks on how firms have started to address the Client Focused Reforms (CFRs). Our panel will share their expertise on the requirements, challenges firms may be grappling with and helpful strategies/considerations for aspects of the CFRs that may appear quite daunting to operationalize.
Speakers:
Gillian Dingle, Partner, Torys (moderator)
Sean McGratten, Senior Director, Regulatory Management & Governance Compliance, RBC Wealth Management
Kat Szybiak, Senior Legal Counsel, Compliance and Registrant Regulation, Ontario Securities Commission
Sean Shore, Securities, Compliance and Regulatory Counsel, Canadian Compliance & Regulatory Law
Client Focused Reforms (CFR), Out With The Old……..In With The New(ish?)
Before you attend yet another project meeting on conflicts of interest, KYC, KYP etc., join us to hear about practical implementation frameworks on how firms have started to address the Client Focused Reforms (CFRs). Our panel will share their expertise on the requirements, challenges firms may be grappling with and helpful strategies/considerations for aspects of the CFRs that may appear quite daunting to operationalize.
Speakers:
Gillian Dingle, Partner, Torys (moderator)
Sean McGratten, Senior Director, Regulatory Management & Governance Compliance, RBC Wealth Management
Kat Szybiak, Senior Legal Counsel, Compliance and Registrant Regulation, Ontario Securities Commission
Sean Shore, Securities, Compliance and Regulatory Counsel, Canadian Compliance & Regulatory Law
| CCLS ESC Accreditation Letter 1 of 2-French |
| CCLS ESC Accreditation Letter 2 of 2-French |
| CCLS ESC Accreditation Letter 1 of 2- English |
| CCLS ESC Accreditation Letter 2 of 2- English |
Webinar: August 11, 2020
OSC Whistleblower Program-What You Need To Know
On July 14, 2016, the Ontario Securities Commission launched the Whistleblower Program to target serious and hard to detect regulatory offenses. The Program is the first of its kind in Canada to offer financial incentives for information about securities law violations. This session aims to provide attendees with a background on the Program along with insights into its operations to date.
In particular, attendees will learn about:
- the Program’s key features including available protections;
- the types of misconduct the Program is designed to attract;
- findings from a desk review of registrants into the anti-reprisal provisions of the Securities Act (Ontario); and
- practical considerations for market participants to keep in mind.
Speakers:
- Ashok Menen, Investigation Counsel, Enforcement Branch, OSC
- Bill Brown, CCLS Education Sub-Committee - Moderator
| OSC Whistleblower Program - Presentation |
| Accreditation Letter (French) |
| Accreditation Letter (English) |