Seminars and Presentations

Compliance Officers’ Network – February 28, 2017

Agenda for the Meeting

Minutes from the Previous Meeting (December 7, 2016)

Presentations 

  1. Investment Regulation Briefing from South of the Border

Susan Grafton and Michael Sherman, partners at Dechert LLP’s Washington D.C. office will have a conversation on U.S. financial regulatory issues that have been making front page news and are of note for portfolio managers.
*Note: this a verbal presentation – there were no presentation materials*

  1. CSA Consultation on the Option of Discontinuing Embedded Commissions

Garth Foster, partner at Fasken’s will provide an overview of the CSA’s January consultation on whether to discontinue embedded commissions in favour of direct pay arrangements, including an analysis of the potential impact on PM firms.
*Note: this a verbal presentation – there were no presentation materials*

  1. Amendments to AML legislation coming into effect June 2017

Koker Christensen, Co-Leader of Fasken’s Financial Institutions Group will summarize key aspects of the changes to Canada’s Proceeds of Crime (Money Laundering) and Terrorist Financing Act and regulations as well as recently released guidance from FINTRAC to help firms prepare for the June 17, 2017 implementation date.
Presentation Materials

4. Highlights of PMAC’s 2016 Compliance Benchmarking Survey
Presentation Materials