Spring Regulatory & Compliance Webcast

Event Details

  • Date: Wednesday, May 12, 2021
  • Time: 11:00 AM – 4:45 PM ET
  • Location: Virtual Event, EventMobi platform. Registered attendees will receive their unique event access at least 1 week before the event.
  • Cost:
    • PMAC Member/Affiliate:$125 + tax
    • Non-Member/Non-Affiliate: $175 + tax

View the Agenda


Event Overview

Join PMAC for this half-day event that will update you and your colleagues on current compliance issues and industry developments. Hear from the regulators, industry experts and your peers. Connect with our sponsors, who are leading suppliers in the industry.

All sessions will be recorded and made available to those who register to attend. PMAC will apply to have this event accredited by the law societies of British Columbia, Alberta, Quebec and Ontario.

Event Co-Hosts

Loretta Carbonelli, Chief Compliance Officer, CWB Wealth Management & Canadian Western Financial (MFDA)
Novlette Simpson, Chief Compliance Officer & Chief Operating Officer, Logan Wealth Management

11:00 AM ET – 1:00 PM ET – Pre-event Warm-Up, Sponsor Booth Viewings

1:00 PM ET – Regulatory Roundtable

Moderator: Susan Han, Partner, WeirFoulds LLP
Panelists:
Frederic Belleau, Senior Director, Investment Funds, Autorité des marchés financiers (AMF) *not pictured*
Elizabeth Topp, Manager, Portfolio Manager Team, Compliance and Registrant Regulation, Ontario Securities Commission (OSC)
Lynn Tsutsumi, Director, Market Regulation, Alberta Securities Commission (ASC)
Mark Wang, Director, Capital Markets Regulation, British Columbia Securities Commission (BCSC)

2:30 PM ET – Concurrent Session 1: Getting Started with ESG Investing

Moderator: Paul Harris, Partner & PM, Harris Douglas Asset Management
Panelists:
Jennie Baek
, Partner, McMillan LLP
Ravipal Baines, Associate, McMillan LLP *not pictured*

2:30 PM ET – Concurrent Session 2: Preparing for a FINTRAC & CSA Compliance Audit

Speakers:
Richard Roskies
, Senior Legal Counsel, AUM Law
Chris Tooley
, Legal Counsel, AUM Law

3:45 PM ET – Closing Session: CCO Fireside Chat

Moderator: Rebecca Cowdery, Partner, Borden Ladner Gervais LLP


Thank you to Our Sponsors

 

 


Event Registration

Should you need assistance with registering, please contact Gillian Murch at gmurch@pmac.org.

Cancellation Policy

We understand that unexpected circumstances may force a registrant to cancel. Cancellations must be received in writing via email. Your registration fee will be refunded in full if cancellation is received prior to May 1, 2021. There are no refunds for any cancellation received on or later than May 1, or after conference materials and/or platform access has been emailed. There are no refunds for “no shows”. Substitutions may be made at any time, in writing, at no additional fee. Email notification to gmurch@pmac.org.

Please Note: Credit-card payment is required at time of registration.

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