The 2019 Compliance and Operations Symposium was held in Toronto on April 3, 2019.
Panel sessions included:
• Leveraging New Technologies to Assist with Compliance and Operations Functions
• Liquid Alts: The New Retail Frontier
• Cannabis and Compliance
• Industry Perspectives on IIROC’s Debt Market Reporting & Surveillance System
• Fireside Chat with Maureen Jensen, Chair and Chief Executive Officer, Ontario Securities Commission and Ian Russell, President and CEO, Investment Industry Association of Canada
• Cyber Readiness: Where are your Vulnerabilities?
• Vulnerable Clients: How Firms Can Better Protect Both Clients and Advisors
For the 2019 agenda, please click here.
A full-day event of perspectives on topical issues impacting compliance and operations professionals within Canada’s securities industry.
• Wealth and Asset Management: How you can prepare for transformative change
• What do Canadian investors want? Keys to delivering an exceptional client experience
• Generating business value from your compliance and operations functions
• Ways FinTech can enhance dealers’ performance
• The wealth transfer: Trends and implications of the intergenerational shift in wealth
FEATURED SESSION: The event featured a fireside chat between IIAC President and CEO Ian Russell and IIROC President and CEO Andrew Kriegler, who will provide perspectives on the key regulatory themes affecting IIAC member firms and their clients.
For the 2017 agenda, please click here.
This annual full-day event offers an opportunity to hear from industry professionals about practical and solution-driven discussions about current policy and regulatory issues affecting small and independent dealers.
Participants at the 2016 IIAC Small and Independent Dealers’ Symposium heard from industry experts about a variety of topics including the advantages smaller firms enjoy over less nimble competitors, particularly their ability to quickly adopt innovative technology to improve efficiencies as well as the client experience to gain a competitive edge. Presentation materials will be made available to IIAC members shortly.
For the 2016 agenda, please click here.
2016 IIAC Cybersecurity Conference
The 2016 IIAC Cybersecurity Conference was held June 14 in Toronto and featured an impressive roster of expert speakers who provided insights on key cyber issues, trends and challenges.
Topics included the following:
• Current threats – Ransomware, phishing scams and the increasing risk for financial services firms
• Legal, privacy and other liability considerations – Before, during and after a breach
• Comparing the U.S. and Canadian cyber regulatory frameworks
• How to survive a data breach
• Engaging and evaluating vendors – Due diligence and other considerations
• Cybersecurity insurance
2015 IIAC Cybersecurity Conference Presentations and Links
On June 4, 2015, the IIAC hosted its first Cybersecurity Conference in Toronto. Click here to access a recap of the event, including the session synopses.
For more information on the IIAC’s annual Cybersecurity Conference, please click here.
Visit the IIAC’s Cybersecurity Resource Centre for more helpful information, tools and links to resources intended to assist firms in developing and maintaining their cybersecurity plans.