2022 Seminars
September 14, 2022
Overview of CIPF and CDIC
Our panelists from CIPF and CDIC will provide an overview of their respective organizations and how coverage works, including the types of property and accounts that are covered, and the coverage limits. They will also explain some key updates relevant to IIROC and CIPF members, including the changes to CDIC's coverage effective April 2022 and the merger of CIPF and MFDA IPC.
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
- Caitlin Sainsbury, Partner, Borden Ladner Gervais - Moderator
| Speaker Bios |
| Presentation |
| CE Letter - French |
| CE Letter - English |
Friday, May 13, 2022
Client Focused Reforms Phase II – To 2022 and Beyond!
Firms no doubt have addressed requirements for Know-Your-Client (KYC), Know-Your-Product (KYP), Suitability Determination, Relationship Disclosure and Misleading Communications for December 2021. The solutions in place today were likely influenced by COVID, working remotely, technology and continuous advocacy/clarification with regulators during most of the two-year implementation period.
Our panel will discuss how firms tackled the requirements; any substantial changes to their compliance and supervision programs; and the key lessons/best practices learned during the development, execution, and implementation of these changes and how are firms faring in the first six months.
Speakers:
Client Focused Reforms Phase II – To 2022 and Beyond!
Firms no doubt have addressed requirements for Know-Your-Client (KYC), Know-Your-Product (KYP), Suitability Determination, Relationship Disclosure and Misleading Communications for December 2021. The solutions in place today were likely influenced by COVID, working remotely, technology and continuous advocacy/clarification with regulators during most of the two-year implementation period.
Our panel will discuss how firms tackled the requirements; any substantial changes to their compliance and supervision programs; and the key lessons/best practices learned during the development, execution, and implementation of these changes and how are firms faring in the first six months.
Speakers:
- Wayne Bolton, Chief Compliance Officer, Edward Jones
- Nick Cardinale, Chief Compliance Officer, RBC Wealth Management Canada and RBC DS Canada Inc.
- Kam Haleem, Director, PwC Canada
- Sean Shore, Lawyer, Canadian Compliance & Regulatory Law
| CE Letter - French |
| CE Letter - English |
