Wednesday, May 26, 2021
Demystifying Your Business Location Examination.
Our panel will discuss the workings of a business location examination, how they have changed over the last year and share best practices for preparing and navigating one successfully. You will learn the purpose of these exams; how they serve to monitor your locations’/registrants’ compliance with business conduct rules; and assess that your policies, procedures and controls for supervision are operating effectively.
Questions in advance are both encouraged and welcomed by the Panel.
Speakers:
• Laura Oncescu, Senior Business Conduct Compliance Examiner, IIROC
• Brian Kaine, Manager Business Conduct Compliance, IIROC
• Wendy Sieukaran, Senior Compliance Manager, Legal & Regulatory Compliance, BMO
Demystifying Your Business Location Examination.
Our panel will discuss the workings of a business location examination, how they have changed over the last year and share best practices for preparing and navigating one successfully. You will learn the purpose of these exams; how they serve to monitor your locations’/registrants’ compliance with business conduct rules; and assess that your policies, procedures and controls for supervision are operating effectively.
Questions in advance are both encouraged and welcomed by the Panel.
Speakers:
• Laura Oncescu, Senior Business Conduct Compliance Examiner, IIROC
• Brian Kaine, Manager Business Conduct Compliance, IIROC
• Wendy Sieukaran, Senior Compliance Manager, Legal & Regulatory Compliance, BMO
Thursday May 13, 2021
Gamestop and the impact of social media on investing.
This informative and engaging webinar will focus on the causes and outcomes of trading in Gamestop in early 2021. The panelists will discuss the legal and regulatory impacts of the trading in Gamestop, the extent to which retail investors were impacted by social media discussion boards, and a discussion of the activity dealer members have seen regarding a surge in retail trading in equities that are being promoted on the internet.
Speakers:
Gamestop and the impact of social media on investing.
This informative and engaging webinar will focus on the causes and outcomes of trading in Gamestop in early 2021. The panelists will discuss the legal and regulatory impacts of the trading in Gamestop, the extent to which retail investors were impacted by social media discussion boards, and a discussion of the activity dealer members have seen regarding a surge in retail trading in equities that are being promoted on the internet.
Speakers:
- Alex Perel, Director, Head of ETF Services, Scotia Capital Inc.
- Victoria Pinnington, Senior Vice President, Market Regulation, IIROC
- Usman Sheikh, Partner, Gowlings WLG
| Accreditation Letter_en |
| Accreditation Letter_fr |
Tuesday February 23, 2021
CDIC and CIPF: Coverage and Disclosure
Our panelists from CIPF and CDIC will provide an overview of their respective organization and how their coverage works, including the types of property and accounts that are covered and the coverage limits. They will also explain some of the key updates relevant for our members, including the upcoming changes to CDIC’s coverage and to the CIPF Disclosure Policy. Lastly, they will highlight available resources to help members and the public learn more about CIPF and CDIC.
Speakers:
- Emiel van der Velden, Head, Depositor Solutions, Insurance & Compliance, CDIC
- John Rossi, Director, Trust Deposit Operations, CDIC
- Ilana Singer, Vice-President & Corporate Secretary, CIPF
- Julie Mansi, Partner, Borden Ladner Gervais - Moderator
| Accreditation Letter_fr.pdf |
| Accreditation Letter_en.pdf |
| CDIC and CIPF Coverage and Disclosure |