2024 Seminars
Anti-Money Laundering – Hot Topics
A discussion on some of the top current developments in financial crime as well as pressing questions from YOU, our member firms. What’s keeping you up at night? What are others doing in the industry? Our panelists will focus on the use of AI in combating money laundering in Wealth Management, the beneficial ownership registry and what we need to know now, as well as other AML regulatory developments.
Speakers:
Date: Thursday, May 2, 2024
Location: KPMG, Bay Adelaide Centre, 333 Bay Street, 46th Floor, Toronto, ON M5H 2S5
A discussion on some of the top current developments in financial crime as well as pressing questions from YOU, our member firms. What’s keeping you up at night? What are others doing in the industry? Our panelists will focus on the use of AI in combating money laundering in Wealth Management, the beneficial ownership registry and what we need to know now, as well as other AML regulatory developments.
Speakers:
- Eugenio (Gene) Di Mira, Global Head of Revenue and Partnerships, FinClusive
- Michelle Sarmiento, Vice President, Advisory Services, KPMG Forensic
- Joseph Dixon, Manager, FINTRAC
- Moderator: Kuno Tucker, Chief Compliance Officer, Manulife Wealth
Date: Thursday, May 2, 2024
Location: KPMG, Bay Adelaide Centre, 333 Bay Street, 46th Floor, Toronto, ON M5H 2S5
Evolution and Innovation of Market Structure
Equity market structure plays a crucial role in shaping how financial markets operate and how investors interact with them. Our panel of experts will discuss the role of marketplaces in market structure, and its impact on innovation, competition, supervision, and Compliance.
Speakers:
- Eshank Shah, Senior Manager, Market Structure and Business Strategy, TMX
- Jeff Haddock, Director, Product Development, Nasdaq Canada/Nasdaq Inc.
- Matthew Lee, Director, Trading Business Development, CSE
- Moderator: Naresh Tejpal, Partner, C&N Regulatory Consulting
Date: Wednesday, June 12, 2024
Location: Torys, 79 Wellington St W, 33rd Floor, Toronto, ON M5K 1N2
Do Registered Representatives have a Fiduciary Duty to their Clients?
Well, the answer is YES they can in certain circumstances, according to Ontario’s highest court. And it was partially brought to you by the Client Focused Reforms. As part of its analysis, the Court relied on the standards in the Client Focused Reforms that require registrants to act in the best interest of their client to support the imposition of a fiduciary duty on a non-discretionary investment advisor.
Come and hear our expert panel discuss the decision, the interplay with the Client Focused Reforms and fiduciary duties.
Speakers:
- Maureen Doherty - Partner - Borden Ladner Gervais
- Elsie Plytas - Senior Legal Counsel, Litigation - Scotiabank
- Wayne Bolton - Compliance Professional (recently retired CCO Edward Jones)
- Moderator: Bill Donegan - Senior Compliance Consultant - BLG Beyond/AUM Law
Date:
Thursday, September 26, 2024.