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MFDA Risk Management Conference


October 27, 2017
Toronto Region Board of Trade

Confirmed Guest Speakers:

  • Mark Gordon
    President and CEO
    Mutual Fund Dealers Association of Canada
  • Michael Arruda
    Manager, Complaints and Investigations and Chief Privacy Officer
    Assante Wealth Management
  • Joseph Bajic
    Chief Compliance Officer and Vice President, Compliance
    Assante Financial Management Ltd.
  • Andrew Brown
    Senior Vice President
  • Robert Brush
    Crawley MacKewn Brush LLP
  • Louis H. DeConinck
    Investia Financial Services Inc.
  • Peter Grant
    Chief, Operations and Systemic Risk
    Canadian Securities Transition Office
  • Carrie Hagerman
    Compliance Manager
  • Larry Keating
    NPC DataGuard
  • Patricia Kloepfer
    Chief Compliance Officer
    Investors Group Financial Services Inc.
  • Yasmin Nizami
    Senior Manager, Enterprise Policies and Legislative Development
    BMO Financial Group
  • Tim Pryor
    Vice-President, Legal
    Mackenzie Financial Corporation
  • Michael Stanley
    Sterling Mutuals
  • Karen Woodman
    Chief Compliance Officer
    Sun Life Financial Investment Services (Canada) Inc.

The Conference is designed to provide senior compliance professionals with insights and information on various risk management areas most relevant to Members’ operations. Planned topics include:

  • Cybersecurity
  • New Advisors and Staff Turnover
  • Preventing and Detecting Fraud
  • Systemic Risk in the Financial Sector
  • New Products
  • Errors and Omissions Insurance
  • Anti-Money Laundering

The Conference is open to all MFDA Members’ supervisory staff.

Friday October 27,  2017

Toronto Region Board of Trade
77 Adelaide Street West
Toronto, Ontario

*The MFDA reserves the right to limit the number of registrations per Member as may be required.