Private Client Investment Management – What the OSC Wants You to Know

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Members:  In order to access member pricing, you must login by clicking on the login button located on the top right hand corner of the event page.  Your must use your login details that are associated with your CFA Institute account.

Guest Registration will not reflect member pricing.

Early Bird (Before May 4) - $35
Member Regular - $40

Non-Member Early Bird (Before May 4) - $45
Non-Member Regular - $50

Non-Member Additional Guest Ticket CAD 40.00
Early Bird Price ends 5/4/2017

About the event

OVERVIEW

In Private Client Investment Management everyone asks themselves:

  • Am I complying with the OSC’s regulatory framework
  • Are my suitability assessments adequate? 
  • Are my online advisers meeting regulatory expectations?
  • Does my marketing materials comply with OSC requirements?
  • Am I properly identifying and handling conflicts of interest?

As the industry changes make sure you are at the top of your game. Come and hear from OSC staff (before your next OSC review) and gain some helpful insight into topical issues.

 

TOPICS INCLUDE

Overview of OSC’s 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers (OSC Staff Notice 33-747)

OSC staff will provide a high level overview of its 2016 annual summary report for registrants, with a focus on key issues relating to advisers (portfolio managers) and associated regulatory concerns. There will be discussion of common portfolio manager deficiencies noted during compliance reviews and ongoing OSC initiatives that impact advisers. Topics include vulnerable investors, ‘one person’ firms and business continuity/succession planning, suggested best practices for updating of Know Your Client (KYC) information, incomplete or non-delivered client account statements and online advisers.     

Staff from the Registrant Conduct team will describe the process for taking regulatory action and possible outcomes, including the ‘Opportunity to be Heard’ process.  Staff will discuss recent Commission decisions dealing with topics including KYC and suitability obligations, the appropriate use of marketing materials and identifying and managing conflicts of interest.

 

LEARNING OUTCOMES

  • Recognize the importance of the Annual Summary Report as a compliance tool
  • Understand common deficiencies and issues that are unique or prevalent to the portfolio manager registration category
  • Gain an awareness of OSC policy initiatives that affect the role of advisers
  • Learn about the Registrant Conduct Team and the regulatory action toolbox 
  • Hear about recent relevant Commission decisions  

 

SPEAKER(S) & Company Name

 

Daniel Panici, CPA, CA
Accountant, Compliance and Registrant Regulation 
Ontario Securities Commission
Daniel Panici is an Accountant on the Portfolio Manager team in the OSC’s Compliance and Registrant Regulation (CRR) Branch. Daniel has 5 years of experience at the OSC regulating portfolio managers and other investment firms, with a focus on compliance oversight reviews. Prior to the OSC, Daniel, a Chartered Professional Accountant, worked at Segal LLP, a mid-size public accounting firm.  Over the course of 7 years in public practice, he obtained extensive industry experience auditing firms in the financial industry including: portfolio managers, investment funds and IIROC/MFDA member firms. Daniel obtained a Bachelor of Administrative Studies degree, Specialized Honours Accounting, from York University.

Victoria Paris
Legal Counsel, Compliance and Registrant Regulation 
Ontario Securities Commission
Victoria Paris is Legal Counsel on the Registrant Conduct team in the CRR Branch.  Victoria is responsible for investigating conduct issues involving individual and firm registrants, and conducting Opportunity to be Heard proceedings before the Director where regulatory action is recommended.  Victoria has been at the OSC for three years.  Prior to joining the OSC, Victoria was a principal of a Toronto class action and securities litigation firm.  

 

WHO SHOULD ATTEND

Advising representatives, chief compliance officers, ultimate designated persons of portfolio manager firms as well as individuals responsible for the collection of KYC information and those performing suitability reviews on clients’ investments.

This event is aimed for Fixed income investors, Broker-Dealers, Treasury professionals.

 

Society Member Discounts

            User-added image                User-added image                       

CFA Institute Activity
This program qualifies for credit under the guidelines for the CFA Institute Continuing Education Program

Other Information
Eligible for 1 CFA Institute CE credit hours and 1 SER credit
May be eligible for CE credits to maintain CFP® certification


Information on withdrawals, cancellations, and/or refunds can be found here.

By registering for this event you are acknowledging that you have read our Policies.

 

When & Where
May 18
18th May 2017
12:00 PM - 02:00 PM
Toronto, ON
2017-05-18 12:00 PM 2017-05-18 02:00 PM America/New_York Private Client Investment Management – What the OSC Wants You to Know 120 Adelaide Street West Toronto, ON, Canada M5H 1T1


CFA Society Toronto Office


CFA Society Toronto Office
120 Adelaide Street West, Suite 2205
Toronto, ON