Martin is the Founder and Principal Consultant of Edge Compliance Advisors, which provides advisory services to securities registered firms ranging from building comprehensive compliance programs to delivering specific mandates like examination readiness, policies and procedures, and training. Martin is also the Chief Compliance Officer for his client, RockCreek (Canada) Advisers Inc. Previously, over the course of six years, Martin was the Chief Compliance Officer for the Global Asset Management, Private Wealth, and the fund distribution business lines of HSBC Canada. Prior to this, he worked at CIBC Asset Management, Mercer in Ireland, and had a financial planning practice with Investors Group.
Martin is a graduate of Concordia University where he received a Bachelor of Commerce in Finance and Marketing. He is also a Certified Financial Planner (CFP), and hold certifications from the Association of Certified Anti-Money Laundering Specialists (ACAMS) and the Canadian Securities Institute (CSI).
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
