IIAC RESPONDS TO PROPOSED AMENDMENTS TO NATIONAL INSTRUMENT 33-109 AND RELATED INSTRUMENTS: MODERNIZING REGISTRATION INFORMATION REQUIREMENTS, CLARIFYING OUTSIDE ACTIVITY REPORTING & UPDATING FILING DEADLINES (“THE PROPOSED REVISIONS”)
IIAC WEBINAR: IIROC ENFORCEMENT RULE UPDATES AND TRENDS
Wednesday May 12, 2021 | 2:00 – 3:00 pm EDT
Join us for an informative webinar regarding recent IIROC enforcement rule developments and emerging trends. There will be discussion on terms of complaints, items being elevated to enforcement actions for advisors and dealers, and more.
Charles Corlett, Vice-President of Enforcement at IIROC, will highlight changes to enforcement-related rules including the Notice of Withdrawal for the previously proposed Alternative Forms of Disciplinary Action, the new Early Settlement Program, and other potential upcoming amendments that members should be aware of.
Panelists John Fabello, Co-Lead of Torys’ Securities Litigation practice, and Valerie Quintal, Senior Counsel & Vice-President of Legal and Regulatory Compliance at BMO, will compare what is being elevated to enforcement actions with what IIROC is prioritizing, and discuss trends they are seeing in terms of client complaints. For example, are OEO service complaints being elevated to regulatory infractions? Suitability complaints continue to be the main driver of client complaints, but are there specific sectors or products driving these complaints?
Members may send questions in advance to Gillian O'Mahony. There will also be a live Q&A during the webinar.
Click here to view the bios for Charles, John, and Valerie.
How should firms handle their relationships with suppliers to minimize privacy and data security risk?
Thursday May 27, 2021 | 2:00 – 3:00 pm EDT
Most IIROC firms are well positioned in respect of their internal controls to protect the personal information of their clients and employees. However, these controls are not sufficient to protect firms from privacy and data security risks associated with the use of third-party suppliers, such as IT vendors and other service providers. These parties are very often the weak link in privacy and security, and increase risks associated with regulatory investigations and legal actions against firms, especially in the context of data breaches. It is hence critical for firms to understand the applicable legal framework and appreciate the privacy and security risks associated with outsourcing. These risks can be significantly reduced by approaching suppliers’ engagements with an understanding of the inherent risks and implementing a supplier due diligence privacy assessment as well as a compliance strategy to address those risks. With the growing number of security incidents taking place, it is more important than ever for firms to properly document their service provider agreements and determine each party’s responsibility upon an incident impacting personal information taking place.
Join Eloïse Gratton, and Elisa Henry, Partners and National Co-Leaders, Privacy and Data Protection at BLG for a discussion of the importance of, and strategies for Supplier Due Diligence in order to manage privacy and data security risks.
Please click here to view Eloïse and Elisa’s bios.
IIAC WEBINAR: DIGITAL ASSETS - OPPORTUNITIES, MARKET TRENDS AND REGULATION
NEW DATE: Thursday June 10, 2021 | 3:00 PM – 4:00 PM EDT
Canada is on the forefront of digital assets regulation and client interest in the product continues to grow. Join us for an overview and robust discussion on the current state of Canadian digital assets industry in Canada; regulation of digital assets in Canada; product development and perspectives on launching digital asset products; capital raising for digital asset market participants; and opportunities and challenges in the Canadian digital asset market.
SAVE THE DATE: TERM DEPOSIT CONFERENCE 2022, PRESENTED BY CANNEX FINANCIAL EXCHANGES
Thursday, May 12, 2022
The Term Deposit Conference 2022, hosted by CANNEX Financial Exchanges, will bring together professionals across the full spectrum of the Canadian deposit industry. The conference will focus on key issues impacting product, distribution and technology as well as the regulatory environment and will connect you with senior executives from the leading firms serving the marketplace.
CANNEX is pleased to announce that the 2022 Term Deposit Conference has been scheduled for Thursday, May 12, 2022to be held at One King West Hotel in Toronto. More information regarding registration, sponsorship and speakers will be made available later this year. In the meantime, if you have any questions feel free to contact your CANNEX business representative or visit www.cannex.com.
Objectway, a leader in the Digital Wealth and Asset Management software, has been recognised by Celent among the leaders in wealth management solutions in North America. Objectway’s WealthTech Suite was commended for completeness and usability.
To post a job to the IIAC’s Investment Industry Job Board, email the job description, as a Word attachment or PDF, to email@example.com. Posting on our Job Board is a complimentary service provided to IIAC members. You will be notified by email once the job is posted.