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Full-Day Workshop |
GIPS All-Day Workshop, 9:00 am to 4:00 pm |
Marketing and Global Investment Performance Standards (GIPS): Get To Know the Critical Moves to Endure a GIPS Audit and Get Up To Speed with Provincial Regulations
The requirement for accurate statistics, up-to-date performance data, and appropriate disclosure demands a more focused approach to marketing. The OSC’s most recent clean-up efforts to rid marketing materials of hypothetical data allow your clients to maintain trust in your operations and help you avert regulatory deficiency findings. |
- What marketing materials must include (and exclude)
- Manageable and compliant marketing strategies
- GIPS audit timeline: essential actions to take
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Come away from this in-depth workshop with hard knowledge on how to build effective marketing materials and provide yourself with a GIPS audit safe harbour. |
Michael Lowry, Managing Director, Investors Choice Financial Management Ltd.
Derek Hatoum, Partner, PricewaterhouseCoopers
Donna Spagnolo, Partner, Borden Ladner Gervais LLP
Kyle Pohanka, Partner, Borden Ladner Gervais LLP |
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Half-Day Workshop A |
The Growing Role of the Compliance Officer, 9:00 am to 12:00 pm |
Equip Yourself with the Process and Management Skills You Need to Perform Your Day-to-Day Job
The role and responsibilities of the compliance officer need to be clearly defined. This session examines what your job entails in both small and large firms and what upcoming changes you may encounter. |
- Keeping abreast of KYC and suitability issues
- Overview of due diligence processes regarding new products
- Disaster recovery and business continuity plans
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Learn how to define your responsibilities and improve efficiency. |
Garth J. Foster, Partner, Fasken Martineau DuMoulin LLP
Pierre-Yves Chatillon, Partner, Fasken Martineau DuMoulin LLP |
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Half-Day Workshop B |
Mock Audit Exercise, 1:00 pm to 4:00 pm |
Take-Home Techniques to Test Your Operation’s Compliance Readiness
Policies and procedures that accurately reflect the operation of your business is a vital component of your compliance obligations. This workshop will provide you with the steps you need to take to meet regulatory requirements. |
- Mock Auditor Interview: Questions and Answers
- Record keeping practices that work
- Red Flags they will look for
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Gain proven solutions to successfully build and maintain your Policies and Procedures. |
Stephanie McManus, President, Compliance Support Services |
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