WEBINAR: INVESTMENT INDUSTRY SRO FORUM SUBMISSION ON SRO CONSOLIDATION
Tuesday April 13, 2021 | 11:00 AM - 12:00 PM EDT
The Boards of Directors of the Investment Funds Institute of Canada, the Investment Industry Association of Canada and the Federation of Mutual Fund Dealers established the Investment Industry SRO Forum in January of this year to consider the potential outcomes of the CSA SRO Framework Consultation. The Forum’s recommendations for improved governance, rulemaking and operations were submitted to the CSA on March 31, 2021.
On Tuesday, April 13, join Paul Bourque, IFIC President and CEO, Matthew Latimer, Executive Director, FMFD and Ian Russell, President and CEO, IIAC as they discuss their recommendations to the CSA.
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 Staff Policy Statement on Early Resolution Offers, 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 email@example.com. There will also be a live Q&A during the webinar.
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.
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To post a job to the IIAC’s Investment Industry Job Board, email the job description, as a Word attachment or PDF, to firstname.lastname@example.org. Posting on our Job Board is a complimentary service provided to IIAC members. You will be notified by email once the job is posted.