Past Events

Past Events

In-Person Event: IIAC Catch Up With the Force of WealthTech Conference

 

 

 Date: Thursday, November 24, 2022

 

The confluence of wealth and technology is transforming the investment and asset management industry – from how we invest to how we connect with clients. On November 24 unique perspectives on how wealthtech can empower advisors and create game-changing opportunities and competitive advantage for firms were discussed.

Featuring Keynote Speaker Kendra Thompson – Deloitte’s National Wealth and Investment Management Leader; Partner, Consulting – who addressed the topic, The Future of Advice and Investment – Trends That Will Impact How the Investment Industry Engages With its Clients.

 

Other speakers provided insights on the topics of 1) The Value of Integrating Behavioural Science and Technology; and 2) Can Technology Really Do What People Can Do? Streamlining Back-Office Solutions Through Technology.

 

View more:

https://iiacaccvm.wixsite.com/wealthtechevent 

In-Person Event: 2022 IIAC Excellence in Leadership Awards Tribute Dinner

 

 

 Date: Thursday, October 27, 2022

 

The IIAC Excellence in Leadership Awards Tribute Dinner is the premier annual gathering honouring excellence, integrity and leadership in Canada’s financial services industry.

 

On October 27, at the Delta Toronto Hotel, individuals were recognized and celebrated for their leadership in advancing organizational diversity, equity and inclusion, and the use of technology to improve the investor experience. We also paid tribute to three individuals for their lifetime achievements in the Canadian marketplace, and the IIAC Top Under 40 Award recipient and nominees.

 

View more: https://excellenceinleadershipawards.iiac.ca/

In-Person: IIAC Demystifying the Digital Asset Landscape – Let’s Talk Conference

 

 

 Date: Monday, October 17, 2022

 

On October 17 we heard from those who are ‘in the know’. They filled you in on the always changing world of digital assets and answer everyday questions about the different types of digital assets like: 

      • What are they really? 
      • Still here to stay? In what form? 
      • Are they all really unregulated?
      • Have you given them enough attention?

Speakers 

Scott MacKenzie | President | Fidelity Clearing Canada ULC

Ben Samaroo | Co-Founder and CEO | WonderFi

Geoffrey Cher | Partner | Wildeboer Dellelce LLP

Giles Anderson | Vice President, Digital Asset Sales and Relationship Management | Fidelity Clearing Canada ULC

Didier Lavallée | Chief Executive Officer | Tetra Trust Company

Chuck Hamilton | Chief Learning  Officer | MeetAmi Innovations Inc.

Dean Skurka | President | Bitbuy Technologies Inc.

Lori Stein | Partner | McCarthy Tétrault LLP

Steve Everett | Head Business Strategy & Innovation | The Canadian Depository for Securities Limited (CDS)

Jillian Friedman | Chief Operating Officer | Ether Capital

Adam Reeds | Co-Founder & CEO | Ledn Inc.Phil Sham | CEO | Aquanow

Julie Mansi | Partner | BLGEvan Thomas | Head of Legal | Wealthsimple Crypto

Laura Paglia | President and CEO | Investment Industry Association of Canada

Webinar: Client Focused Reforms – Enhanced Suitability: What Does It Really Mean?

 

 

 Date: Wednesday, October 05, 2022

 

The Client Focused Reforms set out a suitability determination, but what does that mean practically? Now that firms have had time to implement and consider their programs, we discussed a number of areas including:

    • What is a “client interest first’ standard?
    • Have the rules impacted advisors’ ability to use professional judgement for recommendations?
    • Has householding been made easier for investors?

 

Moderator 

Laura Paglia | President and Chief Executive Officer | Investment Industry Association of Canada (IIAC)

 

Speakers 

Julie Gallagher | Senior VP and Chief Compliance Officer | iA Private Wealth

Anthony Giglio | VP TD Wealth | Investment Management Research & Product Shelf Management

Susan Silma | Head of Risk and Regulatory Business Practices | Sun Life Distributor

Webinar: Thematic ETF Investments

 

 Date: Monday, October 03, 2022

 

Thematic ETFs invest in a theme cutting across multiple sectors rather than a specific sector, enabling investors to match their interests with their objectives. This webinar explored the benefits of thematic ETF investing and what fund managers and investors need to consider as part of their portfolio allocation strategies.

 

Speakers 

      • Pat Dunwoody | Executive Director | Canadian ETF Association (CETFA)

      • Deborah Frame | President | Frame Global Asset Management

      • Graham Mackenzie | Head, Exchange Traded Products | TMX Group

      • Daniel Straus | Director | ETF Research and Strategy | National Bank Financial

Webinar: Green and Transition Bond Taxonomy Developments

 

 

 Date: Thursday, September 22, 2022

 

The Canadian and global green and sustainable finance market has seen exponential growth in the past few years. This has necessitated the development of detailed guidance in the form of taxonomies. Green, sustainable and transition bond taxonomies improve clarity and provide guidance to market participants, enabling investors and firms to properly identify green activities and make informed decisions on sustainable economic activities. There are multiple taxonomies in use and under development. This webinar identified and explained trends and the implications for the green sustainable and transition finance market.

Speakers 

    • Siddharth Samarth | Executive Director, Sustainable Finance | CIBC Capital Markets | CIBC

    • Jason Taylor | Managing Director, Sustainability Advisory & Finance | National Bank Financial

    • Jennifer Coulson  | Senior Managing Director, ESG | British Columbia Investment Management Corporation (BCI)

Webinar: Market Transformation and The Future of Trading

 

 

 Date: Monday, September 12, 2022

 

Changes at the exchanges and on trading desk are unfolding rapidly.  New emerging technologies, regulatory reforms,  unprecedented amounts of data and evolving client demands have forced traders to adapt quickly. Our panel will discuss what this has meant to market functioning in Canada and the implications for the trading desks of tomorrow.

 

Speakers 

  • Rizwan Awan | President, Equities Trading and Head of TMX Markets, Products & Services | TMX Group
  • Dan Kessous | Chief Executive Officer | Nasdaq Canada
  • Andrew Jappy | Managing Director, Canada | IRESS

Date: Tuesday, June 14, 2022

Securities dealers play a critical role in combating the impact of money laundering and terrorist financing in Canada’s investment sector. This presentation provides the opportunity to hear directly from a FINTRAC subject matter expert on sector-specific compliance issues such as how to protect your business from money laundering/terrorist financing risks, highlights on the regulatory changes that came into effect on June 1, 2021, and the broader Canadian AML/ATF landscape. This presentation also delves into suspicious transaction reporting requirements, a crucial part of meeting your compliance obligations, and speaks to red flags relevant to the securities sector, as well as how to submit timely, high quality reports to FINTRAC.

Presenter: Monique Guthrie

Monique Guthrie is a Senior Regional Compliance Officer with FINTRAC’s regional office in Toronto. She has over eight years of experience leading compliance examinations of all sizes and complexities across all sectors regulated by FINTRAC. Monique has a thorough understanding of legislative requirements, industry challenges and money laundering/terrorist financing trends and vulnerabilities. She is actively engaged in relationship management and stakeholder engagement and regularly delivers presentations, training and guidance to reporting entities, regulators and associations.

Webinar: ETFs – Balancing Your Portfolio

Date: Monday, June 13, 2022

 

Portfolio rebalancing strives to match the level of returns an investor is trying to achieve and the amount of risk an investor is comfortable taking. Panelists will discuss the use of ETFs as portfolio rebalancing tools, and how they can add value to any investment.

 

Speakers

Sal Ammirato | Head of National Accounts | Sun Life Global Investments

Kevin Prins | Managing Director, Head of ETF & Managed Accounts Distribution | BMO Global Asset Management

Daniel Straus | Director, ETF Research and Strategy | National Bank Financial

Webinar: Leadership in Operations – Transformative Changes in Dealer Back-Offices

Date: Monday, June 6, 2022

 

Evolving technologies, growing product & service offerings and emerging regulatory initiatives are reshaping operations across the investment industry. This panel of operations leaders will discuss some of the key issues impacting dealer back-offices and how dealers are responding.

 

Speakers

Jean DiMarco | Vice President Operations | Fidelity Clearing Canada ULC

Erica King | Senior Director, Strategic Execution | RBC Wealth Management

Niki Prodanovic | Principal, Canadian Operations | Edward Jones

Date: Tuesday, May 31, 2022

 

Canada’s leading AML and financial crime experts will address what you would like to know about issues such as:

–             Digital Identification Methods and Testing

–             The Role of Artificial Intelligence in Combating Money Laundering and Financial Crimes

–             Managing AML and Financial Crime Risk in a Virtual Currency World

–             Keynote – Open Banking and its Impact for AML Compliance

–             International Money Laundering Trends

–             AML Audits – Expectations, Trends and Results

–             AML and Financial Crimes Management – How to Prepare for Future Changes

 

Speakers

 

Slava Akselrud | Anti-Money Laundering Overlay, Americas | NICE Actimize

Kunal Bhasin | Director & Co-Lead, Cryptoassets & Blockchain Advisory Services | KPMG LLP

Julien Brazeau | Director General | Financial Crimes and Security Division | Finance Canada

Carrie Chai | Director, AI and Machine Learning | AML/ATF Models and Analytics | Global Risk Management | Scotiabank

James Cohen | Executive Director | Transparency International Canada

Kevin Comeau | Corporate Lawyer | Member of Transparency International Canada’s Working Group on Beneficial Ownership Transparency

The Honourable Colin Deacon | Senator | Senate of Canada | – Keynote Speaker

Gene DiMira | Chief Identity Officer | The AML Shop

Jennifer Fiddian-Green | Partner | Grant Thornton LLP

Pankaj Gogia | Chief Executive Officer | Applied Recognition Corp.

Lisa Howes | Managing Director, Canadian Sales | Broadridge Financial Solutions, Inc.

Keith Jansa | Executive Director | CIO Strategy Council

Kim Manchester | Managing Director | ManchesterCF

Matthew McGuire | Co-Founder & Practice Leader | The AML Shop

Laura Paglia | President and CEO | Investment Industry Association of Canada

Sarah Paquet | Director and Chief Executive Officer | Financial Transactions and Reports Analysis Centre (FINTRAC)

Lida Preyma | Director, Capital Markets Strategy & Client Insights | BMO Capital Markets

Derek Ramm | Director, Anti-Money Laundering | Alcohol and Gaming Commission of Ontario

Jacqueline Sanz | Managing Director and Canada Lead, Risk and Compliance Solution | Protiviti Inc.

Michelle Sarmiento | Senior Manager, Risk Consulting and Financial Crimes | KPMG LLP

Shauvik Shah | Associate | McCarthy Tétrault LLP 

Jacqueline Shinfield | Partner | Co-lead Financial Services Regulatory Group | Blake, Cassels & Graydon LLP

Paige Wadden | Chief Compliance Officer and VP, Risk Oversight | Fidelity Clearing Canada

Samuel Wiltshire | Senior AML Manager | Wealthsimple

Sue Ling Yip | Partner, Risk Consulting & Financial Crimes Practice | KPMG LLP

Webinar : Sustainability Finance - A Growing Toolkit to Achieve High Impact

 

Date: May 26, 2022 | 3:00 pm – 4:00 pm ET

 

The sustainable bond market continues to grow and achieve record levels. Since the first green format issuance, dating back to the European Investment Bank’s inaugural bond in 2007, the market has developed to include a greater variety of labelling options such as sustainability bonds, social bonds, and sustainability-linked bonds. This product diversification has enabled investors to achieve greater and more diversified portfolio impacts. Companies and governments around the world have successfully issued green bonds to fund projects ranging from renewable energy, energy efficiency to clean transportation. More recently, the social bond market was instrumental in helping issuers fund pandemic relief programs and other pressing categories addressing affordable housing and income inequality. In parallel, the sustainability-linked bond market emerged offering organizations the ability to align GHG reduction commitments with funding strategy, and align with investor carbon budgets. With performance attribution better supported by research, the case for sustainable finance and ESG integration has grown.

 

Speaker

Jason Taylor | Managing Director & Head, Sustainability Advisory & Finance | National Bank Financial

In-Person Event: IIAC Tax Withholding and Reporting Conference – Navigating Current Tax Issues Impacting the Canadian Financial Services Industry

Date: Thursday, May 19, 2022

 

Keeping up with evolving taxation regimes can be overwhelming. Demands for global transparency have escalated, ushering in a new environment for tax compliance.

 

On May 19 government and industry experts will guide us through the complex layers of withholding and reporting requirements, including Qualified Intermediary certifications, changes to the CRS/FATCA regime and upcoming audits, and the technical and operational challenges of implementing 1446(f).

 

Stay up to date on the latest requirements and avoid costly errors.

 

Speakers

 

Jamil Abdulla | Head Operational Taxes CDS | TMX Group

Lata Agarwal | Senior Technical Specialist, CRS & FATCA | Financial Institution Compliance Section | Canada Revenue Agency (CRA)

Jonathan Cutler | Senior Manager, Washington National Tax | Deloitte Tax LLP

Ian DeSacia | Executive Director, Corporate Tax | The Depository Trust & Clearing Corporation

Rasheed Khan | Managing Director | TAINA Technology Ltd.

Ji Kwon | Partner, Taxation | KPMG

Benjamin Latta | Manager, CRS and FATCA | Financial Institution Compliance Section | Canada Revenue Agency (CRA)

Katherine Leung | Senior Tax Manager | EY 

Nicole Lorenz | Partner, Global Information Reporting | PwC Canada

France Marengère | Senior Technical Specialist | Exchange of Information Services Section 2 | Canada Revenue Agency (CRA)

Luke Nagle | Senior Manager, Global Information Reporting | Deloitte

Jillian Nicolson |Partner, Operational Taxes Leader, Canada | Financial Services & Insurance | EY

Dara Moore | AVP, Regulatory & Operations Compliance | AGF Investments Inc.

Laura Paglia | President and CEO | Investment Industry Association of Canada

Grace Pereira | Partner, Tax Group | Borden Ladner Gervais LLP

Michael Y. Poon | Executive Director, Corporate Tax | KPMG

Subin Seth | Senior Counsel (International) | Office of Chief Counsel | Internal Revenue Service (IRS)

Adrian Walrath | Managing Director | Investment Industry Association of Canada

Jinyi Ye | Manager, Business Tax | Deloitte 

Tony Zhang | Articling Student | BLG

Webinar: ETFs in the Canadian Investment Funds Landscape

 

Date: May 10, 2022 | 3:00 pm – 4:00 pm ET

 

Exchange-traded funds have quickly risen in recent years to take a larger share of asset managers’ shelf of products, demonstrating consistent sales throughout different market cycles and affinity from both institutional and retail investors. While sponsors have been taking different approaches to the ETF structure, strategies are being tested as we enter a new, more mature, epoch of widespread adoption of ETFs in Canada. This session will present a review of ETF developments in the Canadian market, exploring how ETFs have been integrated in the business of different sponsor types, pricing dynamics, product development trends and adoption across distribution channels.

 

Speaker

Carlos Cardone | Senior Managing Director | Investor Economics

In-Person Event: Wealth Compliance Symposium - Staying Ahead of the Curve

 

Date: April 28, 2022

 

 

Topics for Discussion

  • – The Future of Wealth Compliance Technology
  • – The Role of Behavioural Science in Compliance
  • – IIROC and MFDA Regulatory Integration Update
  • – Re-Imagined Client Communications – New Legal and Compliance Challenges
  • – Cryptocurrency – It Is Here and Clients Want It. What Now?
  • – Chief Compliance Officers Roundtable – Hot Topics and What Keeps Them Up At Night

 

Speakers

 

Giles Anderson | Vice President, Digital Asset Sales and Relationship Management | Fidelity Clearing Canada

Naomi Bartlett | Senior Vice President and Chief Compliance Officer | IGM Financial Inc.

Wayne Bolton | Principal, Compliance | Edward Jones

Denise Carson | Chief Compliance Officer – BMO Private Investment Counsel Inc., BMO Asset Management Inc. and BMO Investments Inc. | BMO Financial Group

Geraldo Ferreira | Senior Vice-President, Head of Investment Products & Manager Oversight | CI Investment Management

Tyler Fleming | Director, Investor Office | Ontario Securities Commission

Margaret Gunawan | Managing Director – Head of Canada Legal & Compliance | BlackRock Asset Management Canada Limited (BlackRock Canada)

Louise Hamel | Vice President, Business Conduct Compliance | Investment Industry Regulatory Organization of Canada (IIROC)

Jasmin Jabri | Managing Director | Investment Industry Association of Canada (IIAC)

Donald McElligott | Vice President – Compliance Supervision | Global Relay Communications Inc.

Karen McGuinness | Senior Vice-President, Member Regulation – Compliance | Mutual Funds Dealers Association of Canada

Parham Nasseri | Vice President, Regulatory Strategy & Partnerships | InvestorCOM Inc.

Laura Paglia | President and Chief Executive Officer | Investment Industry Association of Canada (IIAC)

Jacqueline Sanz | Managing Director and Canada Lead, Risk and Compliance Solution | Protiviti Inc.

Sean Shore | Legal & Compliance Professional | Canadian Compliance & Regulatory Law

Christina Soares | Chief Compliance Officers & Head of Business Integrity | Aligned Capital Partners Inc.

Evan Thomas | Head of Legal | Wealthsimple Crypto

Kuno Tucker | Global Chief Compliance Officer | Coinsquare

Paige Wadden | Chief Compliance Officer and VP, Risk Oversight | Fidelity Clearing Canada

John Waldron | Founder | Learnedly Canada Inc.

Adrian Walrath | Director | Investment Industry Association of Canada (IIAC)

Sam Webster | President | PortfolioAid Inc.

Lori Weir | CEO and Co-Founder | Four Eyes Financial

Irene Winel | Senior Vice-President, Member Regulation and Strategy | Investment Industry Regulatory Organization of Canada

Webinar: Aging Demographics – Addressing Clients’ Cognitive Decline

 

Date: April 12, 2022

 

North America’s Aging Demographics are widely known. The investment industry is at the forefront at addressing its challenges in a manner that is fair and reasonable to both its clients and its investment professionals. At this webinar we will explore U.S. and Canadian approaches to common yet difficult questions such as:

    • How can or should investment professionals respond to cognitive decline or possible cognitive decline?
    • What are the real and perceived ‘safe harbours’ available to both investors and investment professionals?
    • How are industry professionals responding to these questions in a balanced manner?
    • What are the common issues that arise from investor complaints where the accountholder has cognitive impairment and how are they best resolved?

 

Speakers

 

Kenneth E. Bentsen, Jr. | President and CEO | Securities Industry and Financial Markets Association (SIFMA)

Benjamin Brown | Executive Director – Governance and Controls | CIBC Wealth Management

Marie-Emmanuèle Cardinal | Assistant Vice-President – Client Complaints, Legal Affairs | Financial Markets and Wealth Management | National Bank Financial

Ron Long | Head of Elder Client Initiatives Center of Excellence | Wells Fargo & Company

Laura Paglia | President and CEO | Investment Industry Association of Canada (IIAC)

Joel Sauer | Director of Senior and Vulnerable Investor Investigations | Charles Schwab

Webinar: Futureproof - Infrastructure Modernization in Canada’s Securities Industry

 

Date: April 11, 2022

 

The market volatility and record level of transaction volumes in recent years have put tremendous strains on legacy market structure systems. Drivers such as regulatory reforms, new digital technologies and evolving customer needs have also contributed to changing demands placed on market infrastructure. Our panel of speakers will outline how their organizations have responded to the challenge and the work underway to ensure some of our industry’s critical market structure stays relevant in the years ahead.

 

Speakers

 

Darrell Campfield | Vice President, Strategic Solutions | Broadridge Financial Solutions

Wayne Hong | Chief Information Officer | Fundserv Inc.

Wayne Ralph | Chief Operating Officer | Canadian Depository of Securities

Webinar: Green and Transition Bonds – Certification and Greenwashing

 

Date: April 5, 2022

 

There is widespread agreement, and it is strongly encouraged that green and transition bond projects obtain external certification through an annual audit.

 

Concern has been expressed regarding the potential for greenwashing if the green or transition label that is/or will be used has a broad definition for activities. In such cases, investments may not conform to the Paris Agreement green or transition path. To avoid these situations, clear definitions and data collection procedures are needed.

 

Join us for this webinar to learn more on Green and Transition Bonds Certification and Greenwashing Risks.

 

Speaker

 

Ryan Riordan, Professor & Distinguished Professor of Finance, Director of Research, Institute for Sustainable Finance, The Smith School of Business, Queen’s University

 

Date: Thursday, March 31, 2022

 

Join us for this in-person event on Thursday, March 31, 2022 to hear directly from a panel of regulators on:

o   Key enforcement trends and areas of focus including:

      • Crypto assets
      • Complaint handling
      • Investor restitution
      • Suitability
      • Supervision

o   Enforcement investigation procedures including:

      • Document production
      • Settlement procedures, practices
      • Credit for Co-operation and early resolution offers

 

Introduction:

Diane Tom | Vice-President, Regulatory Strategy and Business Development | Broadridge Financial Solutions

 

Panelists:

Charles Corlett | Vice-President, Enforcement | Investment Industry Regulatory Organization of Canada (IIROC)

Jeff Kehoe | Director of Enforcement | Ontario Securities Commission (OSC)

Charles Toth | Vice-President, Enforcement | Mutual Fund Dealers Association of Canada (MFDA)

François Lanthier | Senior Director of Investigations | Autorité des marchés financiers (AMF) will participate remotely.

 

Moderator: Laura Paglia | President and CEO | Investment Industry Association of Canada (IIAC)

Webinar: Cyber Education – Insider Threats

 

Date: March 9, 2022

 

Insider risk represents a significant threat to organizations because it is so difficult to detect.

 

Insiders—whether employees, former employees, contractors and vendors—have knowledge of, or legitimate access to your firm’s networks, systems and data. Whether acting out of malice or inadvertently, they can pose a significant cyber security risk, putting your organization’s employees, customers, assets, reputation, and interests at risk.

 

Join us to learn about best practices to mitigate insider threats.

 

Speaker

 

Roger Grimes, Data-Driven Defense Evangelist, KnowBe4

Webinar: Client Focused Reforms – How Well Do You Know Your Product?

 

Date: February 24, 2022 

 

Enhanced know-your-product (KYP) requirements of the client focused reforms put the spotlight on firm and advisor knowledge.

 

Learn more about KYP obligations for advisors and registered firms, tools and automated processes to support the new requirements, training support, and next steps.

 

Speakers

Dave Carr-Pries, Vice President, Product & Marketing, InvestorCOM Inc.

Jeff Harvie, Partner & Head of Growth, Four Eyes Financial

Nancy Mehrad, Founder & CEO, Registrant Law

Scott Wilkinson, Partnerships, Innovation, Corporate Development and Business Development, Broadridge Financial Solutions

Webinar: Trading, Clearing and Settlement – T+1 is Coming to Canada. What You Need to Know

 

Date: February 22, 2022

 

The U.S. securities industry announced intentions to accelerate settlement cycle to ‘T+1’, targeting implementation for the first half of 2024.

 

The U.S announcement was expected, and preliminary planning has been underway in Canada to ensure continued alignment with U.S. and Canadian settlement practices.

 

The Canadian Capital Markets Association (CCMA) will again coordinate industry efforts in Canada. The CCMA is working with Canadian industry participants and U.S. industry groups to maintain a common standard for North American markets.

 

Join us for this webinar to learn more on the steps being taken and the work required to ensure a successful ‘T+1’ implementation.

 

Speakers

Keith Evans, Executive Director, Canadian Capital Markets Association

Russ White, Director, Product Management (Funds), Fundserv Inc.

Jamie Anderson, Industry Consultant and Chair, CCMA Legal & Regulatory Group

 

Moderator

Jack Rando, Managing Director, Investment Industry Association of Canada (IIAC)

 

Webinar: Talent Management – IIAC Industry Compensation Survey Results

DATE:  February 16, 2022

 

3rd Quartile conducted a confidential compensation survey focused on non-advisory positions in IIAC member firms. Only firms that participated in the survey will be provided with the final report; however, the IIAC is pleased to host this webinar that will provide helpful insights and a high level overview of survey data results to assist in your compensation planning process. Arm yourself with the latest information to benchmark your organization.

 

Speaker

 

Steven Osiel, Founder, 3rd Quartile Inc.

Webinar: Privacy Legislative Reform – New Governance Requirements

 

DATE: February 7, 2022

 

The implementation of Quebec Bill 64, An Act to modernize legislative provisions as regards the protection of personal information, represents the first of such initiatives at the provincial and federal levels. Firms will be required to have a significant and robust governance structure in place to underpin the detailed compliance obligations.

 

The webinar will analyze the consequences of this legislative reform and how firms can prepare to meet the new governance obligations and ensure compliance.

 

Speaker:

 

Max Jarvie, Senior Associate, Borden Ladner Gervais LLP

Webinar: Know-Your-Client — Evolving the Risk Discussion

DATE: Thursday, December 2, 2021

 

Regulators are spotlighting elements of Know-Your-Client (KYC) in the Client-Focused Reforms (CFR). While risk tolerance and risk capacity are not new concepts, they do raise a number of interesting questions when determining a client’s risk profile.

 

The IIAC invites you to join us for a webinar featuring:

 

  • Shawn Brayman, Director of Financial Planning Methodology, Morningstar; 
  • Greg Davies, Head of Behavioural Finance, Oxford Risk;
  • Sean McGratten, Senior Director, Regulatory Management & Governance, RBC Wealth Management; and
  • Martin Springall, Manager, Policy and Governance, Raymond James, Ltd.

 

The panelists will address the impact of rule changes, how discussions with clients are evolving, and various ways firms and advisors can assess risk profiles, including:

 

  • Should firms rely on questionnaires? How can we assess their efficacy?
  • What role should the professional judgment of the advisor have in this process?
  • How can advisors incorporate information (or lack thereof) from outside holdings into their assessment?

 

Click here to view the speaker bios.

Webinar: Cyber Education Series — Penetration Testing

DATE: Wednesday, November 24, 2021

 

Cyber awareness and robust system development have been on the top of many firms’ priority list in recent years. Despite the increased investment in IT protection, cybercrime persists, at a high cost to organizations and their clients. One of the key tools that can assist firms in leveraging their existing cybersecurity investments is penetration testing. This form of testing, undertaken by third parties, can identify gaps in technology, processes and human behavior that can allow cybercriminals to breach even the most expensive and extensive cyber protection systems. Penetration testing is also an important element in fulfilling regulatory expectations regarding the maintenance of the integrity of IT and privacy systems.

 

The IIAC invites you to join Tyson Rauch, Manager of External Penetration Testing, Digital Boundary Group, and Paul Stapleton, Chief Technology Officer, Fidelity Clearing Canada, for a webinar discussion about penetration testing, including:

 

  • What is penetration testing?
  • Why does my firm need it?
  • Will it benefit my small firm?
  • What kinds of systems get tested?
  • What is the process?
  • What do I do with the results?

 

Click here to view the speaker bios.

Virtual Conference: ESG & Transition Bonds

DATE: Monday, November 8, 2021

 

Canadian and international experts will be on hand to share their insights on issuance and investment opportunities in the ESG, green bond, and transition bond markets. Topics to be discussed will include taxonomy developments, the ongoing improvement of standards and guidelines, domestic and global issuance highlights, and recent Canadian-centric developments in this space.

 

Click here to view the agenda.

DATE: Tuesday, September 21, 2021

 

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, the 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 Canadian digital asset market.

 

Speakers:

Julie Bogle, Senior Associate, Borden Ladner Gervais LLP

Carol Derk, Partner, Borden Ladner Gervais LLP

Julie Mansi, Partner, Borden Ladner Gervais LLP

 

Introduction:

Annie Sinigagliese, Managing Director, Investment Industry Association of Canada

 

Click here to view the speaker bios

Webinar: Public-Private Partnerships – Current State and Where They are Headed

DATE: Monday, June 21, 2021

 

In this presentation, Peter discussed public-private partnerships (PPPs or P3s) in Canada, described the current state of this market, and considered where this market may be headed.

 

Speakers:

Peter Hepburn, Managing Director, Head of Global Power and Infrastructure Financing –Fixed Income, National Bank Financial Markets (NBF)

 

Conor Robertson, Vice President, Global Power & Infrastructure, National Bank Financial Markets (NBF)

 

Click here to view the slideshow.

Click here to view the bios for Peter and Conor.