Going for Gold in Securities Industry Compliance and Operational Practices

THURSDAY, FEBRUARY 25, 2010
ONE KING STREET WEST, GRAND BANKING HALL
MEMBERS: $195
NON MEMBERS: $250

Registration and Continental Buffet Breakfast

Welcome Address
Ian Russell, President and CEO, Investment Industry Association of Canada

Oualified Intermediary Panel  
This session will provide an update on IIAC advocacy activities and examples on how the proposed U.S regulation developments will affect your operations.

Moderator:
Jack Rando, Director, Capital Markets, IIAC

Panelists:
Ron O’Krancy, CIBC World Markets, Co-Chair IIAC Qualified Intermediary Committee
Brian Snider, BMO Nesbitt Burns, Chair IIAC Tax Reporting Committee
 Andrea Taylor, Assistant Director, IIAC

Product Due Diligence Panel 
This session will give firms practical advice for complying with the due diligence notice put out by IIROC in March 2009.

The panel will focus on:

Speakers:
Jeremy Devereux, Partner, Ogilvy Renault
Julie Hesse, Partner, Borden Ladner Gervais LLP
Lisa Langley, President, International Product and Service Group

AM BREAK

PHEW…THE RECESSION IS OVER, BUT WHAT’S NEXT! 
The economic recession may be over but the changes to the Canadian wealth management industry are still underway. This presentation will discuss the retail investment business with a focus on current investor attitudes as well as emerging trends in both products and delivery channels. Investor Economics is well known to the industry for its ongoing research, analysis and insights and the presentation is geared to ensure a lively debate!

Speaker:
Keith Sjögren, Director, Research and Advisory Services, Investor Economics

Noon - 1:00 pm

Networking Buffet Lunch 

IIROC Strategic Priorities and Current Initiatives

Speaker:
Paul Riccardi, Senior Vice President Enforcement, Policy and Registration, IIROC

Anti-Money Laudering - Guide for Members 
This session will discuss IIAC and IIROC’s soon-to-be-released joint AML guidance and how it will help members adapt their AML/CFT compliance programs to their firm’s business, customer base, types of accounts and the differing natures and risks of their lines of business.

Moderator:
 Michelle Alexander, Director, Policy, IIAC

Panelists:
Larry Boyce, Senior Vice President, Sutton Boyce Gilkes
Kim Buntain, Director, Global Compliance, BMO Nesbitt Burns
Gina Yee, Partner, Fasken Martineau 

    

 PM BREAK

 OBSI Insights  
OBSI along with industry representatives will provide their perspectives and insights on OBSI's operations and processes, the objectives and progress of the recent and ongoing industry consultations, and opportunities and challenges for OBSI in 2010.

Moderator:
Susan Copland, Director, IIAC

Panelists: 
Douglas Melville, Ombudsman and CEO, OBSI
Craig Hayman, Principal, Canadian Client Solutions Group, Edward Jones
Charlie Dougall, Ombudsman, Scotiabank