Agenda

8:15 – 8:45

Arrival and Breakfast

8:45 – 9:00

Welcome and Opening Remarks

Speaker:
Mark Gordon – President and CEO (MFDA)

9:00 – 10:00

Systemic Risk in the Financial Sector

Speaker:
Peter Grant – Chief, Operations and Systemic Risk (Canadian Securities Transition Office)

10:00 – 11:00

New Products, New People, New Ideas – Managing the Risks

Moderator:
Karen McGuinness – Senior Vice-President, Member Regulation, Compliance (MFDA)

Speakers:
Louis H. DeConinck – President (Investia Financial Services Inc.)
Michael Stanley – President (Sterling Mutuals Inc.)
Joseph Bajic – Chief Compliance Officer (Assante Financial Management Ltd.)

11:00 – 11:15

Break

11:15 – 12:00

Cybersecurity Threats and Loss Prevention

Moderator:
Brett Konyu – Manager, Member Education (MFDA)

Panelists:
Larry Keating – CEO (NPC DataGuard)
Michael Arruda – Manager Complaints and Investigations and Chief Privacy Officer (Assante Financial Management Ltd.)

12:00  – 1:00

Lunch

1:00 – 2:00

Preventing, Detecting and Investigating Investment Fraud

Moderator:
Charles Toth – Director, Litigation (MFDA)

Panelists:
Patricia Kloepfer – Chief Compliance Officer (Investors Group Financial Services Inc.
Karen Woodman – Chief Compliance Officer (Sun Life Financial Investment Services (Canada) Inc.)
Carlo Quattrociocchi – Director Investigations (MFDA)

2:00 – 3:00

Errors and Omissions Insurance – What you need to know

Moderator:
Shaun Devlin – Senior Vice-President, Member Regulation, Enforcement (MFDA)

Speakers:
Robert Brush – Partner (Crawley MacKewn Brush LLP)
Tim Pryor – Vice-President, Legal (Mackenzie Financial Corporation)
Andrew Brown – Senior Vice-President (Marsh Canada Limited)

3:00 – 3:15

Break

Anti-Money Laundering – Managing the Risks

Moderator:
Jeffrey Yewer – Manager Compliance (MFDA)

Panelists:
Carrie Hagerman  – Compliance Manager (FINTRAC)
Yasmin Nizami – Senior Manager, AML Enterprise Policy and Legislative Development (BMO Financial Group)

4:00 – 4:05

Closing Remarks