Join leading experts and peers at this
invitation-only event exclusively tailored to the
most senior members of the securities industry.
Program highlights:
- Insights from the OSC and the Capital Markets Tribunal
- A Conversation about the New SRO
- Significant Recent Civil Securities Litigation Decisions
- Significant Recent Securities Regulatory Enforcement Decisions
- Navigating the Challenges of Internal Investigations in the Securities Industry
When:
June 14, 2023, 12:00 - 4:30 PM — Cocktails to follow
Schedule
12:00-12:40 PM
Registration, Lunch & Welcome Remarks by Co-Chair Clarke Tedesco
12:40-1:20 PM
Insights from the OSC and the Capital
Markets Tribunal
Insights on the current state of securities regulation in Ontario,
including recent developments, priorities, and challenges.
Panelists:
Naizam Kanji, General Counsel, Ontario Securities
Commission
Jeff Kehoe, Director, Enforcement, Ontario
Securities Commission
Tim Moseley, Chief Adjudicator, Ontario
Securities Commission - Capital Markets Tribunal
Moderator:
Kate McGrann, Crawley MacKewn
Brush LLP
1:25-2:05 PM
A Conversation about the New SRO
Insights into challenges and opportunities associated with
significant organizational change. Panelists will share their
experiences and perspectives on the merger process and discuss the
new organization's structure, mandate, and priorities.
Panelists:
Jennifer Armstrong, General Counsel &
Corporate Secretary, New SRO
Keri Bush, Senior VP, Global Head of Compliance,
CI Financial Corp.
Charles Corlett, VP, Enforcement, New SRO
Moderator:
Dana Carson, Crawley MacKewn
Brush LLP
2:10-2:50 PM
Significant Recent Civil Securities Litigation
Decisions
Insights on the current legal landscape and a discussion of the
potential impact of recent civil securities litigation decisions on
market participants.
Panelists:
Wendy Berman, Partner, Head of Securities
Litigation, McCarthy Tétrault LLP
Robyn Campbell, Managing Director, Marsh Canada
Limited
Peter Griffin, Counsel, Lenczner Slaght LLP
Moderator:
Robert Brush, Crawley MacKewn
Brush LLP
3:05-3:45 PM
Significant Recent Securities Regulatory Enforcement
Decisions
An analysis of recent enforcement decisions and insights into the
current state and future of securities regulation. Panelists will
discuss the practical implications of these decisions for market
participants, including the potential impact on compliance and risk
management strategies.
Panelists:
Alan Gardner, Partner, Head of Securities
Litigation, Bennett Jones LLP
Brad Moore, Partner, Fasken Martineau DuMoulin
LLP
Janice Wright, Partner, Wright Temelini LLP
Moderator:
Alistair Crawley, Crawley
MacKewn Brush LLP
3:50-4:30 PM
Navigating the Challenges of Internal Investigations in
the Securities Industry
Perspectives on various aspects of investigating accounting or
auditing matters, including legal compliance, data privacy,
whistleblower protection, and crisis management. Panelists will
also discuss best practices for minimizing potential legal and
reputational risk and dealing with the aftermath of an
investigation.
Panelists:
Linda Fuerst, Senior Partner, Norton Rose
Fulbright Canada LLP
Michelle McBride, GC & SVP, Enforcement,
Litigation & Employment, Canaccord Genuity Group Inc.
Larry Ritchie, Partner, Osler, Hoskin and
Harcourt LLP
Moderator:
Melissa MacKewn, Crawley
MacKewn Brush LLP
4:30 PM
Closing Remarks & Cocktails