Annual Conference

Theme: As Markets Heal, Confidence Rebuilds

Date: Thursday, October 3, 2013

Location: Arcadian Court, 401 Bay St., Simpson Tower, 8th Floor, Toronto, ON

Join the IIAC as we welcome two very special keynote speakers:

Billy Beane – Oakland A's General Manager and Subject of the best-selling book and hit movie, Moneyball

Billy Beane shattered antiquated Major League Baseball beliefs that big payrolls equated wins by implementing unorthodox (by MLB standards) strategic analysis and methodology that ultimately led one of the worst teams in the American League, with one of the lowest payrolls, to five American League West Division titles.

Best-selling author Michael Lewis chronicled his story in the 2003 best-selling book Moneyball: The Art of Winning an Unfair Game, which became a major motion picture starring Brad Pitt.

Nate Silver – Founder, FiveThirtyEight.com and Author, The Signal And The Noise

Nate Silver has become today's leading statistician through his innovative analyses of political polling. He first gained national attention during the 2008 presidential election, when he correctly predicted the results of the primaries and the presidential winner in 49 states. In predicting the 2012 presidential election, he became known as the “guy who got it right” as President Barack Obama performed almost exactly the way he said he would. Today, Nate runs the award-winning political website FiveThirtyEight.com, where he publishes a running forecast of current elections and hot-button issues. Now published in the New York Times, FiveThirtyEight.com has made Nate the public face of statistical analysis and political forecasting.

Information regarding registration will be available shortly.

Sponsorship opportunities are now available.

2012 IIAC Annual Conference

Succeeding in a Brave New Financial World:
Navigating Market Turmoil and Regulatory Reform

The 2012 IIAC Annual Conference was held on Thursday, September 20, 2012, and attended by more than 200 industry participants, academics, regulators, government officials and media. In addition to an industry roundtable discussing the challenges of managing industry business lines during times of market turbulence and regulatory reform and a regulatory panel outlining the challenges and priorities facing regulators in the immediate future, delegates were also treated to a keynote address by Alice Schroeder, author of the best-selling book The Snowball: Warren Buffett and the Business of Life. A 15-year veteran of Wall Street, Ms. Schroeder was hand-picked by Mr. Buffett to write his life story. Having spent more than 2,000 hours with Mr. Buffett, Ms. Schroeder gave the audience her first-hand impressions of the man, his investing strategies and reasons for his success.

Other speakers included:

• Amar Bhidé, Thomas Schmidheiny Professor, The Fletcher School of Law and Diplomacy, Tufts University
• Francesco Bongiovanni, Entrepreneur and author of The Decline & Fall of Europe
• Kevan Cowan, President, TSX Markets and Group Head of Equities, TMX Group
• Martha Fell, CEO, Women in Capital Markets
• Alain Miquelon, President and CEO, Montréal Exchange
• Tim Ryan, President and CEO, SIFMA
• Alice Shroeder, Author of The Snowball: Warren Buffett and the Business of Life
• Laura Unger, Former Commissioner of the Securities and Exchange Commission (SEC)

The Industry Perspective – Roundtable

• Moderator: Roman Dubczak, Chair, the IIAC and Managing Director and Head of Equity Markets, CIBC World Markets Inc.
• Stephen Bain, Managing Director & Head - Canadian Electronic Trading, RBC Capital Markets
• James Barltrop, Managing Director, Equity Capital Markets, Scotia Capital
• Mario Frankovich, CEO, Burgeonvest Bick Securities
• Craig Hayman, Principal, Financial Advisor Recruiting, Training and Development,Edward Jones
• Rena Shadowitz, Senior Counsel & Director, BMO Capital Markets

The Regulatory Perspective – Speakers

• Dan Sibears, Executive Vice President, Member Regulation Programs, FINRA
• Jim Turner, Vice Chair, OSC
• Susan Wolburgh Jenah, President and CEO, IIROC

For a copy of the conference agenda, please click here.

For a copy of the speaker presentations, please click here.

2012 IIAC VIP Diamond Jubilee Medal Dinner

Following the reception, the IIAC hosted a VIP dinner and ceremony for the IIAC’s Diamond Jubilee Medal recipients to celebrate and honour these builders of Canada’s investment industry. Forty of the 47 recipients – along with family members, friends, and current and former colleagues – attended this prestigious event, many travelling from across Canada to take part in the ceremony.

In his opening remarks, IIAC President and CEO Ian Russell paid tribute to the recipients:

“As far as I’m aware, this is the first time Canada’s investment industry has gathered to honour the legends and luminaries who have made our industry what it is today: One that serves the investing public and issuers, the financing and trading of securities, the capital market infrastructure for the trade, clearing and settlement of securities, and good public policy and effective regulation of markets and the industry," he said.

Dinner guests also heard from Rex Murphy, commentator on CBC TV's The National, columnist in the National Post and host of CBC Radio’s Cross Country Checkup, who served as the evening’s Master of Ceremonies. The theme of his address was “Pride in Excellence” as he focused on the recipients’ numerous contributions and accomplishments.

Thank you to our evening's sponsor:

Photos of the ceremony will be available shortly.

2011 IIAC Annual Conference Summary

IIAC held its Annual Conference on September 15 - this year with the theme "Forging a New Level of Trust in the New Financial World". This year’s event provided IIAC members with insight from some of the top leaders in our industry.

Thomas S. Caldwell, Founder and Chairman, Caldwell Securities Ltd. started off the day with Leading a business with integrity in the New Financial World, with André A. Cappon, President and Founding Partner, CBM Group Inc. to follow with insights on Implications of Global Market Consolidation. The Role of Regulators in the New Financial World, was discussed by a panel comprised of Susan Wolburgh Jenah, President and CEO, IIROC., Stephen Luparello, Vice-Chairman, FINRA., Ian C.W. Russell, President and CEO, IIAC. and Ira D. Hammerman, General Counsel, SIFMA., moderated by Roman Dubczak, Chair, IIAC.

Douglas Hyndman, Chair and CEO, Canadian Securities Transition Office, spoke on Canadian Securities Regulator and the A.M. Keynote Address – Forging a New Level of Trust in the Investment Industry - was handled by Margaret Franklin, Chair, CFA Institute.

2010 Winner of the IIAC Future Leader Scholarship Award – Quentin Broad Managing Director, Head of Equity Research, CIBC World Markets Inc., accepted his plaque during lunch and was followed by a presentation by Ana Bernasek, author of “The Economics of Integrity”. Cam Marston, Founder and President, Generational Insights, spoke for his second year in a row, building on his first presentation of The Language of Trust.

The event Keynote Address given by The Honorable Sheila C. Bair, 19th Chairman of the U.S. Federal Deposit Insurance Corporation (FDIC) 2006-2011, was a captivating presentation on Navigating the Regulatory Landscape in the Wake of the Financial Crisis.

After closing comments by Ian C.W. Russell, President and CEO, IIAC., a reception and dinner were held engaging a new vantage point in regards to trust, with Cass Warner and Stephen Lewis.

For a copy of the agenda, please click here.

For a copy of the speaker presentations, please click here.

The IIAC would like to thank everyone who attended the conference, the speakers, and the many sponsors who helped make the day a huge success. We look forward to seeing you at next year's conference.

2010 IIAC Annual Conference

The IIAC held its annual Conference on September 23 - this year with the theme "Forging ahead in the new financial world". The event featured a strong lineup of speakers who put in perspective the events that led to the current economic environment, issues facing the investment industry right now, and challenges that could define the industry's future.

The presentations included "Reflections on the Financial Crisis and The Way Ahead" by Tony Fell, "The Path to Canadian Securities Regulation", by Doug Hyndman, "Three Critical Developments in the Global Economy 2010 - 2020" by Dr. Horace "Woody" Brock, "The Evolution of Global Market Structure" by Joe Gawronski, "Al Qaeda in cyberspace and robotic warfare on the horizon" by Arnaud de Borchgrave, "Selling Across the Generations" by Cam Marston, and "Raising the bar for Canada's public equity markets" by Kevan Cowan.

In addition there was a panel discussion featuring Susan Wolburgh Jenah of IIROC and Stephen Luparello of FINRA. The guest speaker at the dinner was William Cohan, author of "House of Cards", and "The Last Tycoons" who provided his reflections on the origins, causes and consequences of the Wall Street financial crisis.

The IIAC would like to thank everyone who attended the conference, the speakers, and the sponsors. We look forward to seeing you at next year's conference.