Vancouver Regulatory & Compliance Forum

  • Date: Thursday, May 23, 2019
  • Time: 8:00 AM to 5:00 PM PDT (Networking Reception to follow)
  • Location: Rosewood Hotel Georgia, 801 West Georgia Street, Vancouver, BC
  • Cost:
    • PMAC Member/Affiliate
      • Early-Bird Pricing (until February 28): $300 + tax
      • Regular Pricing (after March 1): $375 + tax
    • Non-Member/Non-Affiliate
      • Early-Bird Pricing (until February 28): $400 + tax
      • Regular Pricing (after March 1): $475 + tax

**Please note the cost does not include hotel accommodations. If required, attendees are responsible for their own hotel accommodations. Hotel rooms are available at the Rosewood Hotel Georgia. You may book your rooms by email or calling: 1-604-682-5566, indicating that you are with the PMAC Group.

Event Overview

The Vancouver Regulatory & Compliance Forum will cover a variety of topics that address new developments, critical issues, and insights on how to sustain a successful compliance program.

View the draft agenda here.

Session Highlights

Straight from the Regulators – Senior staff from the BCSC and ASC will update PMAC members on current consultations, regulatory and audit findings and priorities. This panel will include Lynn Tsutsumi, Director – Market Regulation, ASC; and Mark Wang, Director – Capital Markets Regulation, BCSC. This will be moderated by Larry Neilsen, Global Head of Compliance and COO, RBC Global Asset Management. (pictured in order from left to right).

 

Session Teasers:

  1. Luncheon Keynote – TBD
  2. Privacy in a cyber-age – Hear the viewpoint of compliance professionals on safeguarding firm and client information with a focus on practical tips. This session will also provide a refresher on the latest regulatory expectations around cybersecurity, privacy laws and mandatory breach notification.
  3. Breakout Sessions – Compliance Case Studies
    1. Tax Traps or Senior & Vulnerable Investors
    2. AML Issues
  4. Without regulators or media in the room, join a candid discussion about recent PM audit experiences. Lawyers and CCOs and General Counsel from member firms will share their experiences and take-aways from recent audits, as well as discuss recent enforcement action trends.

Event Sponsors

Thank you to all of our sponsors for their generous support.

Event Registration 

Should you need assistance with registering, please contact Gillian Murch at gmurch@portfoliomanagement.org.

Cancellation Policy
Cancellations must be received via email to Gillian Murch at gmurch@portfoliomanagement.org by May 9, 2019. After May 9, no refunds will be issued. Delegate substitution is permitted up to, and including, the day of the forum. If you register for the forum and do not attend, you are responsible for the full registration fee.

 

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