May 2 3, AVP, Legal and Regulatory Compliance, Primerica Financial Services Ltd

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Daniel Hill
5 years ago
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1 May 2 3, 2018

2 May 2 3, 2018 Acting Country Head of Regulatory Compliance, HSBC Canada Assistant CCO, FundEX Associate Director and Compliance Officer, UBS Bank Canada Associate Manager, Audit, Investors Group AVP, Sun Life Financial AVP & CCO, Capital International Asset Management (Canada) Inc. AVP, Compliance & CCO, Sun Life Financial AVP, Corporate Compliance, Sun Life Financial AVP, Compliance Investments, Sun Life Financial AVP, Individual Compliance, Sun Life Financial AVP, Legal and Regulatory Compliance, Primerica Financial Services Ltd AVP, Regulatory Compliance, HSBC Private Wealth Services AVP & Senior Counsel, Sun Life Financial Branch Manager, ICICI Bank Chair & Chief Executive Officer, Canadian Securities Transition Office Chair & Chief Executive Officer, Alberta Securities Commission Chief Executive Officer, 18 Asset Management Inc. Chief Executive Officer, Gillford Capital Inc. Chief Executive Officer, IFS Tech Inc. Chief Executive Officer, Secure Capital Group Chief Compliance Officer and VP, Law, Walton Capital Management Inc.

3 Chief Compliance Officer, ACM Advisors Chief Compliance Officer, Axcess Captial Advisors Chief Compliance Officer, Baillie Gifford & Co Chief Compliance Officer, Barometer Capital Management Chief Compliance Officer, Bellotti Capital Partners Chief Compliance Officer, Black Creek Investment Management Inc. Chief Compliance Officer, BNY Mellon Asset Management Canada Ltd. Chief Compliance Officer, Bridging Finance Inc. Chief Compliance Officer, Cordiant Capital Chief Compliance Officer, Fidelity Clearing Canada Chief Compliance Officer, First Asset Investment Management Inc. Chief Compliance Officer, Fisgard Asset Management Chief Compliance Officer, FundEX Investments Inc. Chief Compliance Officer, General Re-New England Asset Management Chief Compliance Officer, Gluskin Sheff & Associates Inc. Chief Compliance Officer, Groundlayer Capital Chief Compliance Officer, Heward Investment Management Chief Compliance Officer, HSBC Global Asset Management (Canada) Ltd Chief Compliance Officer, HSBC Investment Funds (Canada) Inc. Chief Compliance Officer and AVP, Regulatory Compliance & RBWM, HSBC Private Wealth Services (Canada) Inc. Chief Compliance Officer, Investia Financial Services Chief Compliance Officer, MaRS Discovery District Chief Compliance Officer, MFC Global Investment Management / Manulife Asset Management Ltd. Chief Compliance Officer, MNP Corporate Finance Inc. Chief Compliance Officer, Monarch Wealth Corporation Chief Compliance Officer, Peters & Co. Ltd Chief Compliance Officer, Purpose Investments Inc.

4 Chief Compliance Officer, ROI Capital Chief Compliance Officer, Sionna Investment Managers Chief Compliance Officer, Thornmark Chief Compliance Officer, TIMC Chief Compliance Officer and Controller, QV Investors Inc. Chief Compliance Officer and Chief Operating Officer, Encasa Financial Inc. Chief Compliance Officer and Deputy Chief Legal Officer, BNP Paribas Investment Partners Chief Compliance Officer and General Counsel, Timbercreek Asset Management Chief Compliance Officer and General Manager, Fisgard Asset Management Chief Compliance Officer and Head of Operations, McLean & Partners Wealth Management Chief Compliance Officer and Legal Counsel, Bridgehouse Asset Managers Chief Compliance Officer and Legal Counsel, UBS Asset Management (Canada) Ltd Chief Compliance Officer and Operations Manager, Oberon Capital Corporation Chief Compliance Officer (Canada) and Senior Legal Counsel (North America), BNP Paribas Investment Partners Canada Chief Financial Officer and Chief Compliance Officer, CGOV Foundation Chief Financial Officer and Chief Compliance Officer, FrontFour Capital Corporation Chief Financial Officer and Chief Compliance Officer, Genus Capital Management Chief Financial Officer and Chief Compliance Officer, TriView Capital Ltd. Chief Financial Officer and Chief Compliance Officer, W.A. Robinson & Associates Ltd Chief Financial Officer, Annapolis Capital Limited Chief Financial Officer, Investment Planning Counsel Chief Financial Officer, Front Street Capital Chief Financial Officer, Gluskin Sheff Chief Financial Officer, Nicola Wealth Management Ltd. Chief Financial Officer, Palos Management Inc. Chief Financial Officer, SCM Securities LP Chief Financial Officer, Value Partners Investments Chief Financial Officer and Chief Operations Officer, Newport Private Wealth

5 Chief Financial Officer and Chief Compliance Officer, FrontFour Capital Corporation Chief Investment Officer and Chief Compliance Officer, Independent Accountants Investment Counsel Inc. Chief Financial Officer and Director, Resolute Funds Chief Marketing Officer, Socialware Chief Operations Officer, AIMA Canada Chief Operations Officer, Barometer Capital Management Chief Operations Officer, GF Securities Canada Company Ltd. Chief Operations Officer, Shorcan Brokers Ltd. Chief Operations Officer, Stonebridge Financial Corporation Chief Operations Officer, Tullett Prebon Chief Regulatory Counsel, AUM Law Compliance Analyst, Sun Life Financial Compliance Manager, Baillie Gifford Compliance Manager, Bimcor Inc. Compliance Manager, Walton Capital Compliance Officer, Burgundy Asset Management Compliance Officer, Duncan Ross Associates Compliance Officer, Facey Financial Planning and Consulting Inc. Compliance Officer, Mawer Investment Management Compliance Officer, TriView Capital Ltd. Content Editor of Advisor Group, TC Media Country Manager Canada, NICE Actimize Deputy Chief Compliance Officer & Regional Director for Fintrac Central, Fintrac Deputy Chief Regulatory Counsel, AUM Law Deputy Director, Compliance and Registrant Regulation, Ontario Securities Commission Director, IIROC Director, TMX Group Director of Administration, Controller, IBK Capital Corp.

6 Director, Business Development, PureFacts Director, Capital Markets Regulation, British Columbia Securities Commission Director & CCO, 1832 Asset Management LP Director, Client Distributor Product Relationship Management, International Financial Data Services (IFDS) Director Client Relations, Fundata Director, Client Service Management, Fidelity Clearing Canada Director, Compliance, ATB Investor Services Director, Compliance, CI Investments Director, Compliance, Greystone Managed Investments Inc. Director, Compliance, Guardian Capital Group Director, Compliance, Nicola Wealth Management Ltd. Director, Compliance, Scotia Capital Inc. Director, Compliance, Sun Life Financial Director, Compliance and Corporate Secretarial, Morgan Meighan & Associates Ltd Director, Compliance and Registrant Regulation, Ontario Securities Commission Director, Corporate Compliance, Morgan Meighan Associates Ltd Director, Derivatives, Ontario Securities Commission Director General, APFA (UK) Director, Investigations, IIROC Director, Investment Accounting, Bimcor Inc. Director, Market Regulation, Alberta Securities Commission Director, National Field Compliance Advisory Services Director, Operations and CCO, Assumption Life Director, Operations and Compliance, MNP Corporate Finance Inc. Director, Policy & General Counsel & Corporate Secretary, IFIC Director, Sales, Markit WSO Director & Senior Counsel, BMO Director, Strategy and Planning Global Information and Technology Risk Management, BMO

7 Director, Supervision of Intermediaries, AMF EVP, Canada Sales, Walton Capital Management Inc. EVP & Senior Policy Advisor, Canadian Securities Transition Office Executive Director, Exempt Market Dealers Association of Canada Executive Director, Monarch Wealth Corporation Executive Director, JP Morgan Asset Management General Counsel, Mawer Investment Management General Counsel and Chief Compliance Officer, Timbercreek Asset Management Group Head of Compliance, Orbis Investment Advisory Canada Head of Regulatory Compliance, Brandywine Global Investment Management LLC In-House Counsel, Baskin Financial Services Inc. Lawyer, Stikeman Elliott LLP Lead Advisor, Regulatory Developments, RAP, HSBC Bank Canada Legal Counsel, Investia Financial Services Legal Counsel & Compliance Officer, Canso Investment Counsel Ltd. Manager, Compliance and Administrative Support, WA Robinson Asset Management Ltd Manager, Investor Services, WA Robinson Asset Management Ltd Manager, Legal Services, Republic Bank Canada Manager, Regulatory & Policy Governance, TD Asset Management Manager of Compliance, Value Partners Investments Manager of Compliance & Operations, Palos Management Managing Director, Compass360 Consulting Inc. Managing Director, IIAC Managing Director, Vault Circle Managing Director and Senior Consultant, Investor Economics Partner, Blake, Cassels & Graydon LLP Partner, Borden Ladner Gervais LLP Partner, Cassels Brock & Blackwell LLP

8 Partner, Crawley Meredith Brush MacKewn LLP Partner, Fasken Martineau Partner, Gardiner Roberts LLP Partner, Troys LLP Partner, Operational Taxes, Canadian Market Leader, Ernst & Young Portfolio Manager, Bush Associates Ltd President & CEO, AUM Law President & CEO, Canoe Financial President & CEO, IBK Capital Corp. President & CEO, Investment Funds Institute of Canada (IFIC) President & CEO, Investment Industry Regulatory Organization of Canada (IIROC) President, Brookstreet Mortgage Investment Corporation Inc. President, Centurion Asset Management Inc. President, Compliance Support Services President, Dixen Mitchell Investment Counsel President, Domus Financial Corporation President, North Star Compliance & Regulatory Solutions Inc. President, Owens MacFadyen Group President, Silverton Financial Inc. President, Sprucegrove Investment Management President, TIMC President, Vault Mortgage President & Director, Mawer Investment Management Ltd. President & Founding Partner, Purefacts Financial Solutions Senior Compliance Manager, Burgundy Asset Management Senior Legal Counsel, Vanguard Investments Senior Manager, Compliance, Canoe Financial Senior Manager, Compliance, RBC Global Asset Management

9 Senior Manager, Compliance, TD Senior Manager, Compliance and Registrations, ATB Financial Senior Manager, Financial Services Tax, Ernst & Young LLP Senior Manager, Head Office Compliance, Credential Financial Inc. Senior Manager, Public Affairs, IFIC Senior Manager, Risk Management, HSBC Global Asset Management Senior Manager, Strategic Product Development, Broadridge Senior Manager, Wealth Compliance, TD Bank Senior Product Manager, Broadridge Senior Product Manager, TMX Group Senior Risk Manager, NBCN Inc. SVP & Chief Compliance Officer, Canoe Financial SVP & Chief Compliance Officer, Northern Trust SVP & Chief Financial Officer, Heward Investment Management SVP & Director, MNP Corporate Finance Inc. SVP, Enforcement, Member Policy and Registration, Investment Industry Regulatory Organization of Canada (IIROC) SVP, Fund Oversight, Fidelity Investments Canada ULC SVP, General Counsel & Chief Compliance Officer, Canoe Financial SVP, Legal & Risk, Chief Counsel, Credential Securities Inc. SVP & Managing Director of Sales & Relationship Management, State Street Global Advisors Ltd. SVP, Member Regulation, MFDA VP, J.P. Morgan Asset Management VP, Silver Maple Ventures Inc. VP, TMX Group VP & Associate General Counsel, Scotiabank VP, Business Development, Compliance and Operations & Partner, Van Berkom & Associates VP, Business Solutions, Broadridge VP & Chief Compliance Officer, AIM Management Group Inc.

10 VP & Chief Compliance Officer, Invesco Canada VP & Chief Compliance Officer, MFS Investment Management Canada Ltd. VP, Compliance & Chief Compliance Officer, CI Private Counsel LP VP, Compliance & Chief Compliance Officer, Empire Life Insurance VP, Compliance, Enterprise Wealth Management Group, BMO VP, Compliance, Fidelity Investments Canada ULC VP, Compliance, International Financial Data Services IFDS VP, Compliance, NEI Investment VP, Compliance, OMERS Administration Corporation VP, Compliance, State Street Global Advisors Ltd. VP, Compliance and Operations, Westwood International Advisors VP, Compliance Officer and Operation Manager, Evans Investment Counsel VP, Corporate Compliance, Investors Group VP, Corporate Compliance & Oversight, AGF Management Ltd VP, Corporate Sales, IFS Tech Inc. VP, Digital Marketing, Macquarie North America Banking and Financial Services Group VP, Finance, Duncan Ross Associates Ltd. VP, Finance, Highstreet Asset Management VP, Finance, Investment Planning Counsel VP, Finance, Sector Mortgage Management Inc. VP & General Counsel, Front Street Capital VP, General Counsel & Chief Compliance Officer, Cardinal Capital Management VP, Government Relations, Investment Adviser Association VP, Head of Legal & Compliance, Burgundy Asset Management VP, Investor Relations, Rompsen Investment Corporation VP, Legal, Fidelity Investments VP, Legal, Corporate & Compliance Group & Head of Policy Development, BMO VP, Member Regulation Policy, IIROC

11 VP, Policy & General Counsel & Corporate Secretary, Mutual Funds Dealers Association VP, Regulatory Affairs, IGM Financial

May 14 15, Asset Management Advisor Services Investment Planning Counsel Advocis AGF Management AGF Management

May 14 15, Asset Management Advisor Services Investment Planning Counsel Advocis AGF Management AGF Management May 14 15, 2018 May 14 15, 2018 Senior Manager, IFM/PM Compliance, 1832 Asset Management Executive Vice President, Advisor Services Investment Planning Counsel Associate Director, Regulatory Affairs, Advocis