AIMA Canada Fall Regulatory Forum – Toronto Edition
Please join us for our annual Fall Regulatory Forum, where we will discuss a number of current topics in compliance and enforcement, including:
- Overview of OSC Staff Notice 33-750Summary Report for Dealers, Advisers and Investment Fund Managers
- Regulatory Burden Reduction updates
- NI 81-102 liquid alt product launch updates, including exemptive relief highlights
- Continuing education & proficiency requirements
- IIROC Enforcement priorities
- Impact of technology in compliance
- Other compliance hot topics
- Leila Rafi, Partner, McMillan LLP
Speakers:
- Christopher Bent, Senior Legal Counsel, Ontario Securities Commission
- Elsa Renzella, Senior Vice President, Registration and Enforcement, IIROC
- Vera Nunes, Compliance and Registrant Regulation Branch, Ontario Securities Commission
- Michael Burns, Partner, McMillan LLP
Presented by AIMA Canada’s Legal, Finance & Compliance Committee. A Montreal Edition is being presented by the Quebec Committee on October 28.
Venue Kindly Hosted by: