March 3, 2008
St. Andrew’s Club & Conference Centre
150 King St. West, 27th Fl
Toronto, Ontario
Meeting Sponsors
ACA Compliance Group
ASHLAND
Bingham McCutchen LLP
Compliance Reporter
Financial Management Technologies
MyComplianceOffice
General Session (8:00 am - 9:30 am)
Dialogue with area Regulators [GI] *
• Best Execution, Direct Market Access, Trade-Throughs
• Client Brokerage Commissions (Soft Dollars)
• Registration Reform
• Point of Sale
• Other Regulatory Initiatives
John Hall, Borden Ladner Gervais LLP
Susan Greenglass, Ontario Securities Commission
Jonathan Sylvestre, Ontario Securities Commission
Lawrence N. Boyce, Investment Dealers Association of Canada
* Note that this General Session above is the only session which regulators and members of the press may attend.
Workshop Session I (9:40 pm - 10:55 pm)
Regulatory Reviews (ICPM / MFM)
• OSC Compliance Report / BC 2007 Examination Report - Top Deficiencies - War Stories
• Marketing & Sales Practices Reviews / MF Manager Reviews
• Fund Governance
• Practical Guidance
Marlene J. Davidge, Torys LLP
Supriya Kapoor, Mulvihill Capital Management Inc.
Peter J. Moulson, CIBC
Trevor Walz, Ontario Securities Commission
Carlin Fung, Ontario Securities Commission
Regulatory Reviews (BD / MFD)
• SRO Regulatory Audits - Most Recent Issues
• Focused Reviews / Objective Metrices
• Practical Guidance
• Cases
Gavin J. Tighe, Gardiner Roberts LLP
Murray A. Lund, Market Regulation Services
Edna A. Chu, Scotiabank
Workshop Session II (11:05 pm - 12:20 pm)
Practicalities of Being the Compliance Officer (ICPM / MFM)
• Practical Guide to Writing P&Ps
• Getting Buy-in at All Levels
• Effective Dissemination
• Training with a Limited Budget
• Passing Regulatory Muster
• "Free" Resources
Rebecca A. Cowdery, Borden Ladner Gervais LLP
Jasmin Jabri, TD Asset Management Inc.
Mary Joyce S. Empensando, AIC Limited Copernican Capital Corp.
Practicalities of Being the Compliance Officer (BD/MFD)
• Practical Guide to Writing P&Ps
• Getting Buy-in at All Levels
• Effective Dissemination
• Training with a Limited Budget
• Passing Regulatory Muster
• "Free" Resources
Ellen J. Bessner,Gowling Lafleur Henderson LLP
Brent H. Moore, HSBC Securities (Canada) Inc.
Darrell Bartlett, Assante Wealth Management (Canada) Ltd.
LUNCH (12:20 pm – 1:10 pm)
Lunch will be organized by firm type and table topics for discussion to facilitate attendees meeting others with similar firms and/or interests.
Workshop III General Sessions (1:15 pm - 2:25)
What Keeps Compliance Officers Up at Night (ICPM / MFM)
• Ongoing Testing, Supervision and Escalation - Identification of Red Flags / Mitigation
• Insider / Early Warning Reporting
• Outsourcing - Selection and Supervision - OSFI Guidance
• Personal Trading Practices
• Gifts and Entertainment
Cathy B. Singer, Ogilvy Renault LLP
Pamela L. Moore, Marquest Asset Management Inc.
(B) What Keeps Compliance Officers Up at Night (BD / MFD)
• New Product Approval
• Multiple Marketplaces
• Hedge Funds
• On Book / Off Book Transactions
• Fee-based Accounts
Terence W. Doherty, Stikeman Elliott LLP
Torstein M. Bratten, ITG Canada Corp.
Naomi S.D. Solomon, TD Waterhouse Private Investment Advice
Workshop IV General Sessions (2:35 pm - 3:50)
Impact of Changing Demographics (ICPM / MFM)
• KYC / Suitability / New Products / Guaranteed Funds
• Aging Clients
• Substitute Decision Makers / Powers of Attorney
• Marketing to Seniors / Evolving Product Development
• Meeting Documentation Expectations
Rosanne Rocchi, Miller Thomson LLP
M. Catherine Tuckwell, Scotia Cassels Investment Counsel Limited
Impact of Changing Demographics (BD / MFDA)
• KYC / Suitability / KYP
• Aging Clients
• Substitute Decision Makers / Powers of Attorney
• Marketing to Seniors
• Meeting Documentation Expectations
Sean D. Sadler, McCarthy Tétrault LLP
Bernadette Dietrich, McCarthy Tétrault LLP
John Morton, ScotiaMcLeod
Workshop V General Sessions (4:00 pm - 5:00)
Anti-Money Laundering Program Requirements (GI)
• Changes to C-25 and Impact on Our Activities
• When and How to Perform OSFI, OFAC and FATF Screens
• Know your Customer Requirements
• How to Identify Suspicious Activities and Report to the Authorities
• Annual AML Testing and Training
• Politically Exposed Foreign Persons
Robert E. Elliott, Fasken Martineau DuMoulin LLP
Larry A.W. Neilsen, Phillips, Hager & North Investment Management Ltd.
Derek S. Pattison, Scotiabank Wealth Management
Hedge Funds and Alternative Investment Products (GI)
• The Risks Within Product Design (KYP)
• Disclosure Documents and Sales Communications
• Getting Regulatory Approval
• Conflicts with Regular Investment Mandates (Long Only)
• On-going Risk Management
• Distribution Oversight
• Pre and Post Surveillance
• Recent Regulator and Industry Guidance (IDA, MFA etc.)
Michael A. Burns, McMillan Binch Mendelsohn LLP
Robin J. Taylor, PricewaterhouseCoopers LLP
Ian Pember, Hillsdale Investment Management Inc.
DRESS CODE
Because meeting room temperatures may vary, please dress casually, in layers, to assure personal comfort.