May 3, 2010
St. Andrew’s Club & Conference Centre
150 King St. West, 27th Floor
Toronto, Ontario
HOTEL RESERVATIONS
One King West Hotel & Residence :: www.onekingwest.com
1 King Street West, Toronto :: 1.866.470.5464
Rates vary; $169 - $249 CAD depending on room size
The Fairmont Royal York :: www.fairmont.com/royalyork
416.860.5001 or ryh.businesstravelreservations@fairmont
Rates vary; $189 - $245 CAD depending on date reserved.
Be sure to ask for St. Andrew’s Club and Conference rate!
FEE SCHEDULE - DATE OF ACTUAL RECEIPT BY NSCP GOVERNS RATES CHARGED.
All rates are USD.
| If payment is received by: | 3/23/2010 | 4/20/2010 | On Site |
| NSCP Member of Record | $300.00 | $325.00 | $450.00 |
| Member Associate* | $325.00 | $375.00 | $500.00 |
| Non-Member | $375.00 | $425.00 | $600.00 |
*Non-member from the same firm.
Discount for additional people from the same firm
In order to help compliance departments educate their compliance staff, NSCP is offering a 20% registration fee discount for each additional attendee from within the same firm. Look for the discount code in the first registered attendee’s confirmation e-mail. If you have any questions, please e-mail Liza Wentworth at lwentworth@nscp.org.
Meeting Host
Financial Tracking, LLC
Meeting Sponsors
ACA Compliance Group (ACA)
Ashland Partners
Bingham McCutchen LLP
Compliance11
K&L Gates LLP
Renaissance Regulatory Services, Inc. (RRS)
Except where noted, all NSCP workshops are closed to the Regulators and members of the press.
Registration and Breakfast (7:45am -8:30am)
WORKSHOP SESSION I (8:30am – 9:45am)
(I(a) PM/IFM – HANDLING CONFLICTS – WHAT HAS CHANGED
• Prohibited conflicts of interest
• Identification and assessment process – using a COI Register
• Responding to conflicts through avoidance, control, and/or disclosure
• Preparing a client disclosure document
Marsha Gerhart, Borden Ladner Gervais LLP
Barbara Hendrickson, League Assets Corp.
Michael Holder, BetaPro Management Inc./ JovInvestment Management Inc.
John Mountain, Northwest and Ethical Investments L.P.
I(b) IIROC/MFDA – CHANGING LANDSCAPE OF CONFLICTS AND DISCLOSURE REQUIREMENTS
• A look at all the disclosure requirements from NI 31-103 Registration Reform
• What and how do we tell clients
• Negative vs. positive affirmations
• Order routing disclosures
Torstein M. Braaten, ITG Canada
William Donegan, Scotia Securities Inc.
Brent Moore, HSBC
Gina A. Yee, Fasken Martineau Dumoulin LLP
WORKSHOP SESSION II (9:45am – 11:00am)
II(a) PM/IFM - COMPLIANCE PROGRAM: WHAT DO I REALLY NEED TO DO?
• Components of the compliance regime
• Managing limited resources
• Practical implementation approaches and experiences
Victoria Loutsiv, Deloitte & Touche LLP
Ian Pember, Hillsdale Investment Management Inc.
Jacqueline Sanz, AGF Management Limited
II(b) IIROC/MFDA - INFORMATION SECURITY POLICIES AND PROCEDURES
• Rules, Regulatory Guidance and Common Deficiencies
• New and Emerging Technologies and their Challenges
• Best Practices and Supervision Solutions for Social Networking, Internet Usage, LiveMeeting Technology and Blackberrys
• Effective compliance procedures for supervision monitoring and retention of electronic records
Terence Doherty Stikeman Elliott LLP
Jeffrey Green, RBC
Nick Pomponio, Credit Suisse Securities (Canada), Inc.
Raj Sachdeva, UBS Securities Canada Inc.
WORKSHOP SESSION III (11:15am – 12:30pm)
III(a) PM/IFM – THE NEW WORLD OF IFM'S AND EMD'S
• How your life as an EMD/IFM has changed
• Specific issues/Concerns for EMD's and IFM's under the new regulatory environment
• Practical suggestions to meet the regulatory requirements
Marlene J. Davidge, Torys LLP
Supriya Kapoor, Mulvihill Capital Management Inc.
Geoffrey Ritchie, BMO Harris Banking
Carol Sands, RBC Asset Management
III(b) IIROC/MFDA – Your Compliance Program - How Do You Measure Up?
• This session will highlight the compliance regimes of 3 different firms.
• Insight into Compliance programs, from development to current state.
• biggest challenges and how to overcome them?
• Pragmatic perspectives and practical solutions.
Rebecca Cowdery, Borden Ladner Gervais
Jasmin Jabri, TD Waterhouse
David Sharpe, Assante
Anne Valenti, Independent Planning Group
LUNCH with Speaker (12:30am – 1:45pm)
Edward J. Waitzer, Stikeman Elliott LLP
• View on the National Regulator
• Financial Regulatory Reform Globally and how it will impact Canada
GENERAL SESSION (1:45pm – 3:00pm)
Dialogue With Area Regulators
What You Need to be Prepared For
Open to Regulators and members of the press
• Current/upcoming areas for sweeps
• The regulators view on where to focus your compliance resources
• Lessons learned over the past year in enforcement
• Tips for making your regulatory exams more successful
Lynn M. McGrade, Borden Ladner Gervais LLP
Maureen Jensen, IIROC
Karen L. McGuinness, MFDA
Noulla Antoniou, Ontario Securities Commission
Have a question for the Regulatory panel? Email us!
WORKSHOP SESSION IV (3:15pm – 4:00pm)
GI – BUSINESS CONTINGENCY PLANNING – THE PRACTICALITIES
• Regulatory expectations for dealers, fund managers and portfolio managers
• Reviewing activities and priorizing need
• Building / preparing / testing the plan
• Communicating with employees and clients
Irene Coelho, Scotiabank
Sabrina Dacosta, Protiviti
Cathy Tuckwell - Scotia Asset Management
*Invited and pursuing authorization
**GI - General Interest; both IA and BD sides of the issue will be covered