Toronto Regulatory & Compliance Forum

Event Details

  • Date: Thursday, September 19, 2019
  • Time: 8:00 AM – 4:45 PM EDT (Networking Reception to follow)
  • Location: Toronto Region Board of Trade, 77 Adelaide Street West (First Canadian Place), Toronto, ON
  • Accommodations: Attendees can book at One King West Hotel & Residence. Please contact Emma Harris to make a reservation.
  • Cost:
    • PMAC Member/Affiliate & EMB Members
      • $375 + tax
    • Non-Member/Non-Affiliate
      • $475 + tax

Event Overview

The annual Toronto Regulatory & Compliance Forum will cover a variety of topics that address new developments, critical issues, and insights on how to sustain a successful compliance program.

View the full agenda and speaker line up here!

Session Highlights

Morning Session – Regulatory Roundtable

Moderated by Laura Paglia, Partner, Borden Ladner Gervais LLP, join panelists Debra Foubert, Director, Compliance and Registrant Regulation, OSC; Martin Picard, Policy Advisor, Supervision of Intermediaries, AMF; and Lynn Tsutsumi, Director, Market Regulation, ASC. Panelists will discuss current consultations, regulatory and audit findings, and priorities.

Data and Privacy Session

With new regulatory requirements, growing numbers of high-profile data breaches and heightened public concerns, the importance of protecting data privacy has never been more critical. Constantine Karbaliotis, Director, CyberSecurity & Privacy, PricewaterhouseCoopers LLP, will provide a useful overview of the current industry practices, as well as recent and proposed regulatory changes.

Luncheon Keynote – US Regulatory Update

Lawyers Robert Skinner & David Tittsworth from the US firm Ropes & Gray LLP will share their views on the impact and significance of recent U.S. regulatory and political developments. David and Robert will also provide some lighter commentary in a format rarely seen at compliance events!

Afternoon Session – Insider Scoop

David Hausman, Partner, Fasken Martineau DuMoulin LLP, will recount his experience as counsel on numerous corporate fraud cases in a casual and engaging address.

Breakout Session Option 1 – Private Client Hot Topics

Join Adam Beach, Vice President, Chief Compliance Officer and Operations Manager, Evans Investment Counsel and Richard Roskies, Senior Legal Counsel, AUM Law to discuss the most topical issues facing the business. This session will focus on practical advice in the rapidly changing technology, regulatory and investor landscape.

Breakout Session Option 2 – Institutional Hot Topics

Moderated by Margaret Gunawan, Managing Director, General Counsel & Chief Compliance Officer, BlackRock Asset Management Canada, join panelists John Fabello, Partner, Toyrs LLP, Joseph Micallef, Partner, KPMG LLP, and Jacqueline Sanz, Chief Compliance Officer, Caldwell Investment Management Ltd as they discuss unique compliance challenges and opportunities facing institutional firms. Issues including IM trading policies and practices, client disclosure/transparency, as well as best execution will be included. 

Event Sponsors

Thank you to our sponsors for their generous support. Check out our sponsors services here.

Event Registration

Should you need assistance with registering, please contact Gillian Murch at

Cancellation Policy
Cancellations must be received via email to Gillian Murch at by September 5, 2019. After September 5, no refunds will be issued. Delegate substitution is permitted up to, and including, the day of the Forum. If you register for the conference and do not attend, you are responsible for the full registration fee.

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