| 12th annual Compliance & risk management | Conference home page |
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Calling all chief compliance officer and UDPs…
Take back to your office strategies, precedents, blue prints and guidelines to shepherd your company. Our esteemed speakers will give you the solutions and knowledge to fulfill your compliance function with excellence.
No other event has such top-level speakers and depth of coverage for Adviser – Portfolio Managers.
Register today to benefit and meet your mandatory compliance obligations! |
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| Source critical information to optimize your knowledge and compliance obligations in 11 key areas: |
1. Be ready for the latest CSA requirements
2. Know about REVISED SEC audits requirements
3. Manage the NI 31-103 transition
4. Develop coping strategies for the new economic climate
5. Improve compliance with a Chief Ethics Officer
6. Fuse compliance and risk management
7. Create an exemplary compliance mentoring program
8. Analyze how ATS’s are impacting compliance
9. Set the “Tone from the Top” and improve compliance
10. Source highlights from the last 12 months
11. Create an action plan for improving key deficiencies |
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| Source strategies, ideas and innovations from these 17 leaders: |
1. Securities Exchange Commission
2. Ontario Securities Commission
3. British Columbia Securities Commission
4. Autorité des marchés financiers
5. Investment Advisor Association
6. Investment Counsel Association of Canada
7. Canadian Imperial Bank of
Commerce
8. Bank of Montreal
9. Mackenzie Financial |
10. Northwood Private Counsel
11. Abel Noser (New York)
12. Accounting and Compliance International
13. Ethics and Compliance Officer Association
14. Toronto Dominion Asset Management
15. Borden Ladner Gervais
16. Citi Canada
17. Miller Thomson |
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| Emulate their success and learn from their experience. Save time and money and reduce risk. Establish your organization as the next leader! |
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| Take away 6 ADDITIONAL benefits from this exclusive event: |
1. Regulator updates
2. Extended networking opportunities
3. Extensive Q&As |
4. Group discounts
5. Special brainstorming session
6. Complete binder of materials |
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| Take this opportunity to see how your colleagues are preparing; share your experiences and exchange ideas and strategies! If you want to meet with your peers in the field and form valuable alliances, this is your best opportunity this year. |
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Register Today – Space Is Limited and Sure To Sell Out
Don’t miss your chance to participate in these critical discussions and to network with the leaders in this changing field. Register for our limited spaces by calling 1-866-298-9343 or emailing registrations@strategyinstitute.com today. |
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