Kat Szybiak and Tyler Fleming to speak at PMAC Montreal Compliance Forum

Speech Past Event
Jun 07, 2018
08:35 am  -  10:15 am
Sofitel Montreal Le Carré Doré, 1155 Sherbrooke St W, Montreal, QC

The Montreal Regulatory & Compliance Forum will cover a variety of topics that address new developments, critical issues, and insights on how to sustain a successful compliance program.

08:35 – 10:15

Regulatory Roundtable with the AMF and the OSC

Overview of recent and upcoming regulatory initiatives, key audit findings and enforcement initiatives.

Moderator

Alix d’Anglejan-Chatillon, Partner, Stikeman Elliott LLP

Speakers:

  • Sophie Jean, Director, Supervision of Intermediaries Autorité des marchés financiers (AMF)
  • Hugo Lacroix, Senior Director, Investment Funds Management Autorité des marchés financiers (AMF)
  • Kat Szybiak, Senior Legal Counsel, Compliance and Registrant Regulation, Ontario Securities Commission (OSC)


10:45 – 12:00

How to Protect Senior Clients – Vulnerable Investors and your Firm

Join legal, compliance, elder law and regulatory experts in a practical discussion of how firms can improve their practices and processes with respect to senior and vulnerable clients.

Speakers

  • Tyler Fleming, Director, Investor Office, Ontario Securities Commission (OSC)
  • Laura Paglia, Partner, Borden Ladner Gervais LLP
  • Lorne Steinberg, President, Lorne Steinberg Wealth Management


 

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