André J. Moniz, Senior Investigation Counsel - Office of the Whistleblower, speaking at The Summit for Asset Management

Now more than ever, the potential cost of compliance is so high, that it pays to get ahead of misconduct. Just over a year into the program, the OSC presents their whistleblowing initiative and how buy-side institutions can work closely with regulators to reduce costs and reputational risk of misconduct.

Insights & Takeaways: This session will focus on themes like: Similarities and differences between the OSC initiative and that of the SEC; the anonymous and confidential process in place for whistle-blowers for misconduct; how firms can work with the regulator with No Contest Settlements and Credit for Cooperation; the OSC’s use of data analytics to identify misconduct.

To learn more