SOPHIE JEAN is now executive advisor – Supervision of intermediaries at the Autorité des marchés financiers. She joined the Commission des valeurs mobilières du Québec (the AMF’s predecessor) in January 2000. Since then, she has been involved exclusively in registrant regulation and supervision, and has participated in all of the Canadian Securities Administrators’ (CSA) regulatory projects relating to dealer and adviser registration. She was Director – Supervision of intermediaries from 2013 to 2019. From 2017 to 2020, she chaired the CSA Regulatory Sandbox Committee, and from 2009 to 2015, she chaired the CSA Registrant Regulation Committee. Prior to 2000, she was a partner at a Montréal law firm, with a securities and corporate finance practice. She attended McGill University (B.C.L, and LL.B).
Day 1: Jun 17, 2020
11:05 am
11:05 am
Keynote Address
CSA Panel on Client-Focused Reforms Increase your Understanding of Recent Regulatory Enhancements to Build an Effective Compliance Program
Senior and experienced representatives from Canada’s regulators discuss their policy objectives and regulatory expectations focusing on the Client-Focused Reforms. Share your questions in advance to clarify expectations, ask what will be coming in the near future and enhance your compliance strategies. Source exclusive insights to:
- Comply with new regulations and meet expectations
- Determine what will be new for 2021 and beyond, and the timeline for any new projects or considerations
- Align your compliance strategy to meet regulators’ objectives
Clarify the expectations of provincial regulators to improve your compliance
Day 2: Jun 18, 2020
