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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
File Size: 120 kb
File Type: pdf
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Presentation
File Size: 6398 kb
File Type: pdf
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CE Letter - French
File Size: 176 kb
File Type: pdf
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CE Letter - English
File Size: 149 kb
File Type: pdf
Download File

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:
  • 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
File Size: 178 kb
File Type: pdf
Download File

CE Letter - English
File Size: 150 kb
File Type: pdf
Download File

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