AIMA Fall Regulatory Seminar

Presented by AIMA Canada’s Legal, Finance & Compliance Committee

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

• NI 81-105 Mutual Fund Sales Practices policy implementation
• Enforcement trends and key recent enforcement actions
• OSC Enforcement Branch goals and priorities
• Overview of OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
• Compliance and Registrant Regulation Branch priorities and areas of focus
• Whistleblower program
• Other compliance hot topics

Speakers:

Supriya Kapoor, Principal/Founder, Aurelius G.R.P. (Canada)
Donna Spagnolo, Partner, Borden Ladner Gervais
Shaifali Joshi-Clark, Senior Forensic Accountant, Enforcement Branch, Ontario Securities Commission
Jeff Kehoe, Director, Enforcement Branch, Ontario Securities Commission
Vera Nunes, Manager, Investment Fund Manager Team, Compliance and Registrant Regulation Branch, Ontario Securities Commission

Agenda:
9:00-10:00am – NI 81-105 Mutual Fund Sales Practices policy implementation
Donna Spagnolo, Partner, Borden Ladner Gervais
Supriya Kapoor, Principal/Founder, Aurelius G.R.P. (Canada)

10:00-10:15am – Break

10:15-10:30am – OSC Whistleblower program
Shaifali Joshi-Clark, Senior Forensic Accountant, Enforcement Branch, Ontario Securities Commission

10:30-11:30am – Fireside chat
Jeff Kehoe, Director, Enforcement Branch, Ontario Securities Commission
Vera Nunes, Manager, Investment Fund Manager Team, Compliance and Registrant Regulation Branch, Ontario Securities Commission

11:30am-12:00pm – Questions

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