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.
Questions in advance are both encouraged and welcomed by the Panel.
Speakers:
Date:
Thursday May 13, 2021
Time:
On-line Registration 8:00 am EST
Webinar 8:15 am to 9:15 am EST
Location:
Live On-line Webinar – webinar link will be provided 4 days in advance of presentation
Cost:
$25.00 + HST to attend
Payment:
Individual registrations, via credit card only.
Registration Deadline:
May 10, 2021 (Registration is limited to the first 100 registrants).
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.
Questions in advance are both encouraged and welcomed by the Panel.
Speakers:
- Alex Perel, Director, Head of ETF Services, Scotia Capital Inc.
- Victoria Pinnington, Senior Vice President, Market Regulation, IIROC
- Usman Sheikh, Partner, Gowlings WLG
Date:
Thursday May 13, 2021
Time:
On-line Registration 8:00 am EST
Webinar 8:15 am to 9:15 am EST
Location:
Live On-line Webinar – webinar link will be provided 4 days in advance of presentation
Cost:
$25.00 + HST to attend
Payment:
Individual registrations, via credit card only.
Registration Deadline:
May 10, 2021 (Registration is limited to the first 100 registrants).
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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
Date: Wednesday, May 26, 2021
Time:
On-line Registration 11:45 am EST
Webinar 12:00 to 1:00 pm EST
Location: Live On-line Webinar – webinar link will be provided 4 days in advance of presentation
Cost: $25.00 + HST to attend
Payment: Individual registrations, via credit card only.
Registration Deadline: May 25, 2021 (Registration is limited to the first 100 registrants).
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
Date: Wednesday, May 26, 2021
Time:
On-line Registration 11:45 am EST
Webinar 12:00 to 1:00 pm EST
Location: Live On-line Webinar – webinar link will be provided 4 days in advance of presentation
Cost: $25.00 + HST to attend
Payment: Individual registrations, via credit card only.
Registration Deadline: May 25, 2021 (Registration is limited to the first 100 registrants).