1f. ALL – Canadian Compliance (Intermediate)


This session will address hot topics in the securities regulatory and compliance areas in Canada.

Learning Objectives:

  • Discuss U.S. firms conducting business in Canada
  • Analyze situations when U.S. rules apply to Canadian firms
  • Discuss current Canadian issues such as client focused reforms and prohibition on embedded fees
  • Hear updates on current and pending Canadian regulations

Intermediate                        Program Level: Date: October 19, 2020 Time: 10:00 am - 11:15 am Amy Aubin Supriya Kapoor

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