Overview

The SIFMA Compliance & Legal Society and IIAC will host a breakfast in Toronto on October 6, 2017 at BMO Financial.

 

 

C&L Society and IIAC Toronto Breakfast

Date

October 06, 2017

Location

Toronto, Ontario

Hosted by

C&L Society and IIAC

Overview

The SIFMA Compliance & Legal Society and IIAC will host a breakfast in Toronto on October 6, 2017 at BMO Financial.

 

 

Program

7:30am – 8:00am

Continental Breakfast

7:30am – 12:00pm

Registration Desk Hours

8:00am – 8:10am

Participants

Ira D. Hammerman

Speaker

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

8:10am – 8:40am

Participants

Kevan Cowan

8:40am – 9:40am

OSC/IIROC DOL in Canada and U.S.

  • OSC/IIROC
  • DOL in Canada and U.S.

Participants

Ken Ottenbreit, Wayne J. Bolton, Marsha Gerhart, Lawrence E. Ritchie

Moderator

Ken Ottenbreit

Managing Principal

Stikeman Elliott LLP

Panelists

Wayne J. Bolton

Principal, Compliance

Edward D. Jones & Co., L.P.

Marsha Gerhart

Vice President, Member Regulation Policy

Investment Industry Regulatory Organization of Canada

Lawrence E. Ritchie

Partner, Litigation

Osler, Hoskin & Harcourt LLP

9:40am – 9:55am

Networking Break

9:55am – 10:55am

Participants

J. Bradley Bennett, Jeff Kehoe, Robert Paddick

Moderator

J. Bradley Bennett

Partner

Baker Botts LLP

Panelists

Jeff Kehoe

Director, Enforcement

Ontario Securities Commission

Robert Paddick

Deputy Ombudsman, Investments

Ombudsman for Banking Services and Investments

10:55am – 11:10am

Networking Break

11:10am – 12:00pm

Participants

Ira D. Hammerman, Monica Kowal, Eric Moss, Howard R. Plotkin

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Panelists

Monica Kowal

Vice President, Head of Global Wealth Compliance

TD

Eric Moss

Senior Vice President, Deputy General Counsel & Chief Compliance Officer

BMO Financial

Howard R. Plotkin

CIT Group Inc

12:00pm – 12:00pm

Program Concludes

Venue

BMO Financial Group

First Canadian Place
100 King Street, 68th floor
Toronto, Ontario

Terms and Conditions

Policy SIFMA reserves the right to remove, bar, or expel any attendee or guest from the conference for disruptive, disrespectful, or possibly illegal conduct, statements, or actions or for any reason which may tarnish the conference, SIFMA, or its members, in SIFMA’s sole discretion. SIFMA shall not refund any money paid for such attendee or guest to attend the conference, or for any travel expenses incurred to attend the conference. Substitutions Conference registration substitutions are welcome. Email [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email. Cancellations Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a processing fee and must be made in writing.