Past Events

Past Events

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.



Julie Bogle, Senior Associate, Borden Ladner Gervais LLP

Carol Derk, Partner, Borden Ladner Gervais LLP

Julie Mansi, Partner, Borden Ladner Gervais LLP



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.



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.