Compliance & Operations Dialogue 2023
Overview
This half-day session is designed for operations & compliance professionals at asset managers, wealth managers, and other registrants in Canada (and happy to have those from elsewhere!). We designed the day to be full of high-quality content that is relevant to the audience and delivered as an educational session. These sessions are presented by our members as a series of concurrent Table Talks and is offered to CAASA member companies as well as non-members (as attendees, subject to capacity constraints).
Please take a moment to reserve your delegate pass.
Members who wish to present at the conference should contact the CAASA office to coordinate topic and timing.
We are happy to provide a number of delegate passes for sale to non-members of CAASA.
Where
TBD
Keynote
Name
Title
Company
Name
Title
Company
Bio
2023 Agenda (work in progress!)
Day 1
- November 15, 2023
- 10:00 am – 6:00 pm
- November 15, 2023
- 10:00 am – 6:00 pm
Agenda for the day
10:00 am
Registration & Refreshment
Get your badge and join us for a few mins of coffee, snacks, and networking before we start the day.
10:30 am
Keynote speaker
Speaker to be determined
11:30 am
Table Talk 1A – KYP and KYC Considerations
This session focuses on what is required by all EMDs with regard to KYC and KYP as part of the Client Focused Reforms adopted on December 31, 2021.
- Know your product (KYP): The new KYP obligation requires registered firms to take reasonable steps to understand any securities that are purchased and sold for, or recommended to, their clients. This includes the structure, features and risks, and initial and ongoing costs and their impact. Registered firms are expected to have policies, procedures and controls in place to appropriately assess, approve and monitor all securities made available to clients.
- Know your client (KYC): Registrants must collect an expanded list of information to meet their KYC obligations. In addition, they must take reasonable steps to obtain the client’s confirmation of the accuracy of any information collected. Client information must be reviewed at minimum intervals for currency and updated if the registrant becomes aware of a significant change.
Other aspects of this legislation and its implementation in a wealth manager and asset manager setting will also be discussed.
11:30 am
Table Talk 1B – Tips for All
Compliance and operations roles are anything but reading a book and applying the rules…it’s that plus the ability to provide context to business units and liaise with regulators and counsel on a fairly regular basis to ensure adherence to the rules.
This session is made for newer and veteran personnel alike and all are encouraged to bring their ideas, procedures, and questions to the group.
12:15 pm
Lunch
During lunch, delegates can network with peers and trade notes.
1:00 pm
Table Talk 2A – Onshore Tax & Structuring
1:00 pm
Table Talk 2B – Offshore Tax & Structuring
1:45 pm
Break
2:00 pm
Table Talk 3A – Complying with the SEC
2:00 pm
Table Talk 3B – Complying with the EU/UK
2:45 pm
Break
3:00 pm
Table Talk 4A –
3:00 pm
Table Talk 4B –
4:00 pm
Finale – What to expect when you’re expecting a compliance audit
5:00 pm
End of day – thank you!
Member – Table Talk Leader
Registration to open soon!
Event Registration Closed
Member – Manager or Investor
Registration to open soon!
Event Registration Closed
Member – Service Provider
Registration to open soon!
Event Registration Closed
Non-Member – Manager or Investor
Registration to open soon!
Event Registration Closed
Thank you to our 2022 Sponsors
