12th Annual Focus Event on Registrant Regulation Conduct & Compliance

Industry event Past Event

May 14, 2019

01:30 pm

Hilton Doubletree, 108 Chestnut Street, Toronto, ON, M5G1R3

CASE STUDY: OSC

Whistleblowers: Improve your Internal Controls to Identify and Address Any Securities Misconduct Proactively

Christine Tabbert

Deputy Director, Operations, Enforcement Division, Ontario Securities Commission

Dena Staikos

Manager in the Compliance and Registrant Regulation Branch (CRR), Ontario Securities Commission