2023 Seminars
Welcome to the CIRO: A discussion on CIRO Annual Priorities and Enforcement Trends
Date: Thursday, July 20th, 2023
Seminar: 4:30 – 5:30 PM (EST)
Location: Wildeboer Dellelce LLP, Suite 800, Wildeboer Dellelce Place, 365 Bay Street, Toronto, Ontario, M5H 2V1
Join us to hear about CIRO’s annual priorities and enforcement trends, provided by senior executives from CIRO, Karen McGuinness and Elsa Renzella. This seminar will include a panel discussion with Chris Somerville and Ron Schwass, where the panel will share their perspective on challenges, helpful strategies, and considerations relative to recent enforcement matters.
Date: Thursday, July 20th, 2023
Seminar: 4:30 – 5:30 PM (EST)
Location: Wildeboer Dellelce LLP, Suite 800, Wildeboer Dellelce Place, 365 Bay Street, Toronto, Ontario, M5H 2V1
Join us to hear about CIRO’s annual priorities and enforcement trends, provided by senior executives from CIRO, Karen McGuinness and Elsa Renzella. This seminar will include a panel discussion with Chris Somerville and Ron Schwass, where the panel will share their perspective on challenges, helpful strategies, and considerations relative to recent enforcement matters.
- Karen McGuinness, SVP, Member Regulation (MFD), Member Intake and Innovation, Canadian Investment Regulatory Organization (CIRO)
- Elsa Renzella, SVP, Enforcement & Registration, Canadian Investment Regulatory Organization (CIRO)
- Chris Somerville, Partner at Affleck Greene McMurtry LLP
- Ron Schwass, Partner at Wildeboer Dellelce LLP
- Moderator: Neal Weston, Director, CCO, Scotia Securities Inc. & Tangerine Investment Funds Limited
Joint Staff Notice 23-329 on Short Selling in Canada
Date: Tuesday, April 18, 2023
Seminar: 4:30 – 5:30 PM (EST)
Location: Goodmans LLP, Bay Adelaide Centre - West Tower, 333 Bay Street, 34th Floor, Toronto, ON M5H 2S7
On the 8th of December 2022, The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) published a Joint Staff Notice 23-329 on Short Selling in Canada to provide an overview of the existing regulatory landscape surrounding short selling, give an update on current related initiatives and a request for public feedback on areas for regulatory consideration.
The CCLS Education Sub-Committee is happy to announce our first seminar for 2023 and our first in-person event since COVID by bringing the below panel together to discuss the notice. There will be a cocktail networking session after this seminar and we hope to see you there.
Date: Tuesday, April 18, 2023
Seminar: 4:30 – 5:30 PM (EST)
Location: Goodmans LLP, Bay Adelaide Centre - West Tower, 333 Bay Street, 34th Floor, Toronto, ON M5H 2S7
On the 8th of December 2022, The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) published a Joint Staff Notice 23-329 on Short Selling in Canada to provide an overview of the existing regulatory landscape surrounding short selling, give an update on current related initiatives and a request for public feedback on areas for regulatory consideration.
The CCLS Education Sub-Committee is happy to announce our first seminar for 2023 and our first in-person event since COVID by bringing the below panel together to discuss the notice. There will be a cocktail networking session after this seminar and we hope to see you there.
- Francesca Guolo – Partner, Goodmans LLP
- Kevin McCoy - Acting Senior Vice-President, Market Regulation Operations, New SRO
- Alex Perel - CFA, Managing Director, Head of ETF Services, Scotiabank Global Banking and Markets
- Tracey Stern - Chief Legal Officer, General Counsel and Corporate Secretary, CSE
- Moderator : Shailesh Ambike - Director, Advisory, Global Capital Markets, Scotiabank Global Banking and Markets