Past Events

Past Events

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.



Carlos Cardone | Senior Managing Director | Investor Economics

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?




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.




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.




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



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



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.




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.



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.



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



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.




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.




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.



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.