AIMA Canada Fall Regulatory Forum – Toronto Edition


Please join us for our annual Fall Regulatory Forum, where we will discuss a number of current topics in compliance and enforcement, including:

  • Overview of OSC Staff Notice 33-750Summary Report for Dealers, Advisers and Investment Fund Managers
  • Regulatory Burden Reduction updates
  • NI 81-102 liquid alt product launch updates, including exemptive relief highlights
  • Continuing education & proficiency requirements
  • IIROC Enforcement priorities
  • Impact of technology in compliance
  • Other compliance hot topics
  • Leila Rafi, Partner, McMillan LLP


  • Christopher Bent, Senior Legal Counsel, Ontario Securities Commission
  • Elsa Renzella, Senior Vice President, Registration and Enforcement, IIROC
  • Vera Nunes, Compliance and Registrant Regulation Branch, Ontario Securities Commission
  • Michael Burns, Partner, McMillan LLP

Presented by AIMA Canada’s Legal, Finance & Compliance Committee. A Montreal Edition is being presented by the Quebec Committee on October 28.

Venue Kindly Hosted by: