In-Person Breakfast: Enforcement Trends – Insights from the Regulators

Industry event Past Event
Mar 31, 2022
07:30 am  -  10:00 am
Vantage Venues Conference Centre, 150 King St. West, 27th Floor, Toronto

On March 31, 2022, a panel of enforcement experts from the Autorité des marchés financiers, IIROC, MFDA and the OSC will share insights on ongoing enforcement trends at the Investment Industry Association of Canada’s (IIAC) in-person event, ‘In-Person Breakfast: Enforcement Trends – Insights from the Regulators.’

The OSC’s Director of Enforcement, Jeff Kehoe and other panelists will discuss:

  • The COVID-19 pandemic and investor complaint trends
  • Key areas of enforcement activity and statistics (including KYC, suitability, concentration, and judgment calls)
  • Document production requests and practices
  • Prior document disclosure
  • Settlement practices and early resolution offers
  • The impact of SRO consolidation on enforcement matters
  • Provincial securities commission review of SRO sessions
Photo of Jeff Kehoe