Industry A.M. Breakfast Seminar Series
Upcoming Industry A.M. Breakfast Seminars
Register Now: February 19, 2013 – FATCA: Will you be ready for 2014?
Date: Tuesday, February 19, 2013
Time: 8:00 a.m. EST - Registration and Breakfast; 8:30 a.m. to 10:15 a.m. EST - Presentations and Panel
Location: Fasken Martineau LLP, 333 Bay Street, Suite 2400, Adelaide Centre, Toronto
The IIAC is pleased to present the Industry AM Seminar - FATCA: Will You Be Ready in 2014?
This session will cover the following:
- Overview of the FATCA requirements generally: The Final IRS Regulations
- The Impact of an Intergovernmental Agreement (IGA) for Canada
- The Impact of FATCA on Introducing and Carrying Brokers in Canada
- FATCA and QI: What you should know if you’re already a Qualified Intermediary
- Industry Panel: How are your colleagues implementing FATCA? If you haven’t already started preparing, where should you begin?
With Presentations By:
- Denise Hintzke, Partner, Deloitte Tax LLP
- Jillian Nicolson, Partner, Ernst & Young LLP
Fee: $65 for IIAC Members, $85 for Non-Members. For IIAC Members outside of Toronto, we invite you to attend by phone. Dial in service: $40 (IIAC Members only) Call details via registration. For IIAC Members who cannot attend in person or by phone, a webinar will be made available. Webinar: $40 (IIAC Members only) Release date to be determined.
For more information and to register, please click here.
Past Industry A.M. Breakfast Seminars
Elderly Clients – Trust and Estate Issues
Sponsored by Broadridge***Session may be eligible for CE Credits***
Presentation By:Corina Weigl, Partner, Fasken Martineau LLP
Date: Wednesday, January 23, 2013
This presentation will focus on the following topics:
Location: Fasken Martineau LLP (Algonquin Room)
333 Bay Street, Suite 2400, Adelaide Centre, Toronto, Ontario
In Trust Accounts: What Every Advisor Should Know
Sponsored by BroadridgePresentation By:
Corina Weigl and Laura West, Partners, Fasken Martineau DuMoulin LLP
Date: Wednesday, May 23, 2012
This presentation will focus on the following topics:
Location: Fasken Martineau DuMoulin LLP (Escarpment and Huron Rooms)
333 Bay Street, Suite 2400, Adelaide Centre, Toronto, Ontario
Social Media Seminar and Roundtable: An Investment Industry Perspective
Sponsored by BroadridgePresentation By:
Aslam Omar, Application Manager at National Bank Financial Group.
Matthew Hallett, Regional Vice President, Advisor Distribution at National Bank Financial Group.
Date: Tuesday, April 24, 2012
Presentation Information:
Join us for this informative session on Social Media. Hear from experts on some of the new trends in this technology and how the investment industry can use these tools. The session will include an interactive roundtable with participants in order to exchange ideas and learn how your colleagues are dealing with the use and application of Social Media within their own firms.
Location: Fasken Martineau DuMoulin LLP (St. Lawrence and Rideau rooms)
333 Bay Street, Suite 2400, Adelaide Centre, Toronto, Ontario
FATCA: What the New Regulations Mean for Canadian Investment Dealers
Sponsored by Broadridge
Presentation By:
Richard Kando, Director, Navigant Consulting, New York Lisa Stanley, Senior Manager, Deloitte Canada Andrea Taylor, Director, IIAC
Date: Wednesday, March 7, 2012
This presentation will focus on the following topics:
The panel will focus on the recently released Foreign Account Tax Compliance Act (FATCA) regulations and how they may impact IIROC registered investment dealers in Canada.
Topics Will Include:
Location: Fasken Martineau DuMoulin LLP (St. Lawrence and Rideau rooms)
333 Bay Street, Suite 2400, Adelaide Centre, Toronto, Ontario
Fee: $65 for IIAC members, $85 for non-members. Fee is per seminar and includes continental breakfast. For IIAC members outside of Toronto, we invite you to attend by phone. Dial in service: $40 (IIAC members only). Call details via registration.
Time: 8:00 a.m. to 8:30 a.m. (EDT) Registration and Continental Breakfast. 8:30 a.m. (EDT) Seminar
This seminar may be eligible for CE credits.
To register, please click here.
A Privacy Tool for Small Businesses
Sponsored by Broadridge
Presentation By: Office of the Privacy Commissioner of Canada
Date: Tuesday, February 7, 2012
This presentation will focus on the following topics:
Do you know which Privacy Laws should be considered while planning and executing investments and financial planning? This session will discuss the importance of considering Privacy Laws that you are obligated to adhere to in order to ensure compliance for your firm. The session will identify how to define the criteria and measure your program performance in relation to execute investment strategies you have defined.
This session will also answer the following questions:
Time: 1:45p.m. to 2:00 p.m. (EST) Registration. 2:00p.m. (EST) Seminar
This seminar was eligible for CE credits.
Trusts: An Investment Advisor Primer
Sponsored by Broadridge
Presentation By: Corina Weigl, Partner, Fasken Martineau DuMoulin LLP
Date: Friday, November 18, 2011
This presentation will focus on the following topics:
October 12, 2011:
E-Signatures in the Canadian Regulatory Environment
Presented by BroadridgePresentation By:
- Larry Boyce, Senior Vice-President SB Regulatory Consulting
- Adam Zimmer, President, Arius Software Corporation
This seminar reviewed the legislation and regulations at the Federal level and in all provinces regarding the use of electronic documents and signatures in commerce. Regulations and notices of securities regulatory and self-regulatory organizations also permit the use of electronic documents and signatures by securities dealers.
The seminar focused on those parts of the legislation and regulations relevant to the normal course business use of electronic documents and signatures by securities dealers.
The seminar also provided a demonstration of what e-signatures look like.
Sept 21 2011:
Cross-border Regulatory Developments for Broker-Dealers Doing Business in the US and Canada: WEBCAST
Sponsored by BroadridgePresentation By:
- Francois Cooke from ACA Compliance Group.
- Vanessa Gardiner from Scotia Capital, Inc.
- Grant Vingoe from Arnold & Porter
- Gina Yee from Fasken Martineau
Compliance officers at broker-dealers that do business in the US and Canada often struggle with how best to meet the numerous regulatory requirements of the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) in the United States, as well as the Investment Industry Regulatory Organization of Canada (“IIROC”). These agencies revise and add to their rules and regulations continually, and the resulting changes can have significant impacts on firms that transact business in both countries.
Hosts IIAC, ACA Compliance Group and Fasken Martineau had a webcast discussion of potential best practices for satisfying SEC, FINRA, and IIROC obligations.
Speakers provided an overview of broker-dealer regulations in both jurisdictions and also discussed:
- U.S. and Canadian Regulatory Hot Topics for Canadian Broker-Dealers
- Overview of Canadian Registration Requirements for U.S. Broker-Dealers Seeking to do Business in Canada.
May 24 2011:
Account Suitability and Know Your Product Compliance: Practical Steps and Best Practices
Presented by Broadridge
IIAC hosted an Industry A.M. breakfast seminar with Martin Orbach, Director of Product, Subserveo.
The presentation covered account suitability reviews and know your product compliance by focusing on the following:
- Discussed best practices
- Demonstrated the latest innovations in suitability surveillance technology that enable broker-dealers to leverage clearing firm data
- Discussed the use of risk intelligence reference information to assist in compliance
May 2011:
OSC Investor Advisory Panel Discussion
Presented by Broadridge
IIAC hosted an Industry A.M. breakfast seminar with Anita Anand, Chair of the OSC’s Investor Advisory Panel (IAP), Associate Professor and past Associate Dean at the University of Toronto Faculty of Law, as well as Lincoln Caylor, Partner at Bennett Jones, Chairman of the board of trustees of the Barrow Foundation, and member of the board of directors of Youth Employment Services. They provided comments on:
- The role and the mandate of the IAP
- he challenges the IAP faces in consultations with investors
- Progress and achievements the IAP has made to date.
April 2011:
Moving Toward the Canadian Securities Regulatory Authority
Presented by Broadridge
The IIAC hosted an Industry A.M. breakfast seminar on Tuesday, April 26th, 2011 on moving toward the Canadian Securities Regulatory Authority. Patricia Callon, Director of Stakeholder Outreach and Communications Canadian Securities Transition Office provided her opinion on the following topics:
- The Transition Office's mandate and its activities to date
- Highlights of the proposed Securities Act
- Next steps toward a Canadian Securities Regulatory Authority
January 2011:
Fiduciary Standard: The Canadian and U.S. Perspective
The IIAC hosted an Industry A.M. breakfast seminar on Wednesday, January 12, 2011 in Toronto on Fiduciary Standard: The Canadian and U.S. Perspective. The event featured presentations by Brigitte Geisler and Joe Yassi, Vice President, Business Conduct Compliance, IIROC and covered the following topics:
- The current fiduciary standard in the U.S. as well as IIROC's current perspective on the issue in Canada
- Discussion in the U.S. about applying a fiduciary standard to brokers as it currently only applies to advisors
- Differences between the fiduciary standard and suitability standard, such as what is happening in the other jurisdictions addressing similar concerns
- IIROC's perspective on fiduciary standard and suitability standard
- Highlights of the proposed Securities Act
- Next steps toward a Canadian Securities Regulatory Authority
For a copy of the presentation, please click here.