a group of people standing in front of a bridge


Strategy Institute Registrant Regulation Conduct & Compliance Summit

May 14, 2019

7:30 a.m. - 4:00 p.m.

DoubleTree by Hilton Hotel Toronto Downtown
108 Chestnut Street Toronto, ON, Canada M5G 1R3

Rebecca Cowdery, Prema Thiele and Donna Spagnolo, of BLG’s Investment Management Group, are participating in the Strategy Institute’s 12th Annual Focus Event on Registrant Regulation Conduct & Compliance, from May 14-15, 2019. Rebecca and Prema will be co-chairing the summit, as they have done for many years, and will deliver the opening remarks. Donna will be participating in the Investment Funds & Portfolio Managers Workshop on the 15th.

The summit will discuss:

  • Information and feedback from key regulators: OSC, ASC, AMF and FCNB
  • How to navigate regulatory developments impacting derivatives, embedded commissions and investor protection (client focused reforms)
  • Practice tips from IIROC, MFDA, NEMA, PCMA, PMAC, IFIC and others
  • Insights on the impact of CRM2 on your customers to improve your reporting
  • How to achieve compliance excellence

Key Contacts