Join the Ontario Branch for this informative Professional Development Luncheon Session with Teresa D’Amata, Senior Accountant from the Ontario Securities Commission and Michael Taylor, Partner with Borden Ladner Gervais LLP, discussing Compliance and Registrant Regulation for securities registrants:
• Compliance and Registrant Regulation Approach; and • Regulatory Compliance Mock Audit
This Program will provide insights on regulatory expectations of their compliance operations. The Ontario Securities Commission regulates firms and individuals who are in the business of advising or dealing in securities or commodity futures, and firms that manage investment funds in Ontario. For more details, including speaker bios, click here to access the session flyer. For any questions regarding the program, including Non-Member registrations, please contact Suzanne Barrett, Director-Professional Development.
Registration RSVP deadline is May 4, 2019.
Member Fee: $50.00Non-Member Fee: $70.00Student Fee: $10.00.
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Attendance at this Professional Development Session is eligible for 2 hours of formal ICSA Continuing Professional Development (CPD) credits for ICSA's ACIS/FCIS Members.
Schedule of Events:11:45am –12:30 - Faculty and Board IntroductionsLunch/Dessert12:30 – 12:45 - Michael Taylor, Partner, Securities Lawyer, BLG: “Overview of the Program and Mock Audit Workshop”12:45 – 1:15 - Keynote Luncheon Speaker: Teresa D’Amata, Senior Accountant, “Compliance and Registration Regulation Approach”1:15 – 2:00 - Michael Taylor, Partner, Securities Lawyer, BLG and Sienne Lau, Senior Associate, Securities Lawyer, BLG will lead with a Case Study for the Break-out Mock Audit Workshop2:00 –2:15pm - Wrap-up
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