Advocis’ 11th annual Regulatory Affairs Symposium

Every advisor knows the weight of regulatory burden. With every new rule, proposal or guidance note, the burden only seems to get worse - and independent advisors are most at risk of getting squeezed. But there finally seems to be hope: the Ontario Securities Commission has made reducing the regulatory burden a priority for 2019-2020.

What areas will the OSC’s Task Force be focusing on? Are advisors’ concerns getting their due recognition? Will the removal of regulations put consumers at risk – and if not, why were those regulations there in the first place? This panel will bring perspectives from regulators, fund manufacturers and advisors to discuss the Task Force’s efforts to make regulation leaner and smarter.

MODERATOR

• Minal Upadhyaya, Vice President, Policy and General Counsel, The Investment Funds Institute of Canada

SESSION PANELISTS

• Brad Beuttenmiller
  • Associate General Counsel, Legal, Franklin Templeton

• Curtis Findlay
  • President, Compfin Management Ltd. and Chair, Advocis Investment Sub-Committee

• Debra Foubert J.D.
  • Director, Compliance and Registrant Regulation, Ontario Securities Commission

• Naizam Kanji
  • Director of the Office of Mergers & Acquisitions, Special Advisor to the Chair, Regulatory Burden Reduction, Ontario Securities Commission

Learn more