“Raseld Dedej is a Senior Manager of Regulatory Operations at Wealthsimple. He is responsible for developing and implementing a risk-based compliance framework to ensure that the compliance program is effective and compliant with applicable laws, regulations and corporate policies. Prior to joining Wealthsimple, Raseld worked at various Dealer Member firms, including Fidelity Clearing Canada, National Bank Independent Network and TD Waterhouse.”
Day 1: Jun 17, 2020
Day 2: Jun 18, 2020
11:05 am
11:05 am
Optimizing Your Compliance Program in the Face of Regulatory Changes, Increased Digitalization, and Market Risk
Evolving your compliance programs is an ongoing challenge as new rules come into place. Meet your increased obligations by preparing for impending challenges such as Client- Focused Reforms, digital transformation, and other registrant oversight requirements. Hear from other compliance departments as they discuss practical solutions to:
- Improve your training, education, and registrant oversight
- Identify, prioritize and address gaps in compliance programs as risks and obligations evolve
- Understanding the implications of rapidly changing market risks in the context of recent CSA guidance for Effective Liquidity Risk Management for investment funds
- Anticipate and address expected regulatory changes in the near and short term
Develop and implement a truly optimized compliance program to meet your regulatory and business challenges
