Event

Spring Regulatory & Compliance Webcast on May 27 2020

All registered attendees received the live recordings of the event.

Should you wish to purchase the live video recordings and materials, please contact Gillian Murch for more information.

Event Overview:

This virtual event included fellow PMAC members, securities regulators, and experts engaging in conversations on the latest industry developments, critical issues and perspectives.

PMAC has applied to have this event accredited by the law societies of BC, Alberta, Quebec and Ontario. Attendees will be notified of approval.

Session Overview:

Event Agenda

  • Regulatory Update –¬† a moderated session with senior staff from the Autorit√© des marches financiers (AMF), the Ontario Securities Commission (OSC) and the British Columbia Securities Commission (BCSC). There was an update on recent regulatory relief and expectations arising out of the COVID-19 pandemic, as well as on guidance, current consultations, regulatory audit findings, and priorities.
  • Client Focused Reforms
    • Part 1 – Enhanced KYC, KYP and Suitability obligations
    • Part 2 – Conflicts of Interest and title reform aspects
    • Part 3 – Client communication, including marketing and disclosure obligations
  • COVID – 19 Breakout Sessions
    • Small to mid sized firm issues; and
    • Larger firm issues.

Thank you to our Sponsors for their generous support of this event!

 

Please contact Gillian Murch if there are any questions about this past event.