The Securities Registrant Compliance subgroup of Fasken’s Montréal Investment Management team is pleased to invite you to their upcoming in-person event, which will be held at our Montréal office on April 25 at 4:30 p.m.
Our panelists Marcelo Ciecha, Marie-Claude Berger Paquin and Laurence Brien-Roch, as well as our moderator Élise Renaud, will discuss the CSA’s (Canadian Securities Administrators) expectations provided in CSA Staff Notice 81-334 – Environmental, social and governance (ESG)-Related Investment Fund Disclosure, revised March 7, 2014.
They will also discuss the harmonizing of advisor compensation rules proposed by the Canadian Investment Regulatory Organization (CIRO) in January 2024, which is intended to establish a standard compensation model for both mutual fund dealers and investment dealers.
The discussion will then turn to the derivatives business conduct rules under Regulation 93-101 which will come into force in September 2024 and are intended to provide protection to market participants, reduce risks, including potential systemic risk, increase transparency and accountability, and promote responsible business conduct in these markets.
Other assorted topics will also be discussed.
The regulatory frameworks that will be discussed could impact your registered firm and its business.
Agenda
• 4:30 p.m. – Welcoming participants
• 5:15 p.m. – Panel discussion
• 6:15 p.m. – Networking cocktail
As space is limited, please confirm your participation before April 18, 2024.
We also encourage you to share this invitation with your colleagues.
