Achieve compliance excellence, reduce operational and regulatory risks, remain diligent in your role, and be recognized for your efforts!

As NI 31-103 continues to evolve, your compliance department needs to maintain excellence through necessary adjustments to new requirements. This conference will show you how.

Network directly with regulatory organizations and get your questions answered through extended Q & A. Meet with your peers and exchange compliance strategies. Learn how to reduce risks, manage the regulatory audit process and prepare for enforcement changes. Determine the best strategies in record keeping and comply with the Dodd-Frank Act.

Source insights from 15 of your peers, including Investors Group, RBC Dominion Securities, Invesco, BMO Capital Markets, National Bank / Wellington West, CI Financial / Assante, Hansberger Global, C.F.G. Heward, Hillsdale, Cardinal Capital, Capital International, Brandes Investment Partners, Mackenzie Investments, University of Toronto Asset Management and Scotia Securities Inc.

Registration requirements are constantly changing – be sure to stay on top and develop strategies to comply!

Your first step: This conference!

Hear from industry leaders and take away 12 practical benefits:

1. Understand the OSC's new focus on registrant misconduct
2. Prepare for the impact of social media on your record keeping obligations
3. How are your obligations being monitored, evaluated and enforced by SROs
4. Surpass regulatory expectations with optimal risk management strategies
5. Get answers on the spot from regulators
6. Be in control of your audit preparation process
7. Seamlessly implement cost disclosure guidelines
8. Be aware of new registration requirements for non-resident fund mangers
9. Gain insights into latest developments in investor prospectus exemptions
10. Determine the impact of Dodd-Frank Reform on your business
11. Stay informed on how your back-office platforms will adopt new rules
12. Be recognized for creating a culture of compliance within your organization
    

Source key insights from these 15 leaders and regulators:

Learn from their insights and experiences to save time and money. Ensure you stay compliant and protect yourself against litigations.

Take away six ADDITIONAL benefits from this exclusive event:

1. Face-to-face interaction with Securities Commissions and SROs
2. Gain insights from more than 25 industry leaders and regulators
3. Take away peer-to-peer strategies from 12 financial institutions
4. Extended Q & A after key sessions – get your answers on the spot
5. Four structured networking times
6. Take away presentation materials

Take advantage of this opportunity to take away the latest regulatory update and discover what your peers are doing; share your experiences and exchange ideas and strategies! If you want to meet with leaders in the field and form valuable alliances, this is your best opportunity of the year.