Know Your Obligations Transition Smoothly Adapt To The New by krs20830


									  6th Annual Summit on

Wednesday, September 16 & Thursday, September 17, 2009 | Toronto Marriott Bloor Yorkville hotel | Toronto, ON

  Know Your Obligations | Transition Smoothly | Adapt To The New Rule
    Execute Your Responsibilities | Meet Registration Requirements

    Your definitive resource                                   This exclusive Special Edition event
              for NI 31-103 Rule                               includes these 10 benefits:

  Hear from these Leaders:                                      1    Extended learning sessions
                                                                2    More Q&A opportunities
                Prema Thiele,
                Partner,                                        3    Group discounts
                Borden Ladner Gervais LLP
                                                                4    Special solution-focused sessions
                Sophie Jean,
                                                                5    Regulator Panel
                Senior Counsel,
                AMF                                             6    SRO Panel
                                                                7    Interactive peer-to-peer discussions
                Laura Bliss,
                Senior Legal Counsel,
                                                                8    Complete binder of materials
                BCSC                                            9    Over 20 top experts
                David Gilkes,                                   10   Email your questions in advance
                Vice President,
                Sutton Boyce Gilkes Regulatory
                Consulting Group
                                                               Hear directly from these 5 regulators and SROs:
 Breakfast Sponsor:    Association Partner:   media partner:         1.   OSC     2.   BCSC       3.   AMF

                                                                     4.   MFDA    5.   IIROC

To register call: 1-866-298-9343 • E-mail:
This event is
your DEFINITIVE resource for implementing NI 31-103
On July 17th, 2009, NI-31-103 was finalized,                       This exclusive Special Edition event
with a coming into force date of September                         includes these 11 benefits:
28th, 2009.
                                                                      1 Extended learning sessions
With only two months to comply with the new                           2 More Q&A opportunities
regulations, you can’t afford to wait. Register                       3 Group discounts
today to ensure you have all the information                          4 Valuable insights from your peers
you need to comply with the rule!                                     5 Special solution-focused sessions
                                                                      6 Regulator Panel
Hear directly from these 5 regulators and SROs:                       7 SRO Panel
1.   OSC   2.   BCSC   3.   AMF     4.   MFDA    5.   IIROC           8 Interactive peer-to-peer discussions
                                                                      9 Complete binder of materials
                                                                      10 Over 20 top experts
Gain valuable insight from your industry peers:
                                                                      11 Email your questions in advance
    JovFunds Management
    BMO Nesbitt Burns, Inc.
                                                                   If you are involved in any aspect of registration or
    CIBC                                                          compliance, you can’t afford to miss this unique forum.
    RBC Asset Management                                          Take advantage of this exciting opportunity to network
    Capital International Asset Management Inc.                   and explore new ideas and successful initiatives
    Hillsdale Investment Management                               presented by experts who instituted the changes you
    Sutton Boyce Gilkes Regulatory Consulting                     must now meet.
                                                                   There is no better opportunity to take away
    Investors Group                                               the latest strategies to meet YOUR compliance
    BLG                                                           challenges!

Register today – This is the most efficient, and cost effective, way to stay compliant.
Space is limited and sure to sell out
Don’t miss your chance to participate in these critical discussions and to network with the leaders in this rapidly growing
field. Register for our limited spaces by calling 1-866-298-9343 or emailing today.
                                                                                               Ensure Your Leadership
                                                                                               With A Customized
This timely, high-level educational summit is                                                  Sponsorship/Exhibit Package
specifically designed for the following executives:
                                                                                               By sponsoring this one of a kind event,
                                                                                               you can showcase your company as an
Chief Compliance Officer, VP, Compliance, Compliance Manager,                                  industry LEADER. Ensure your presence
Compliance Officer, VP, Director, Manager of Registration, General                             is known – be visible at this premier
Counsel, In-house Counsel, CFO’s from:                                                         event! Select sponsorship packages are
                                                                                               still available – to learn more, contact
        Mutual Fund Firms
                                                                                               Himani Dureja at 1-866-298-9343
        ICPMs                                                                                 extension 269.
        Investment Dealers, Brokers, and Securities Firms
        Exempt Market Dealers/Limited Market Dealers
        Pooled Fund Managers                                                              Bring your team and benefit from
        ETF Managers                                                                      special pricing: Be on the same
                                                                                           page, and meet your registration
                                                                                           requirements across categories.
Receive the most up-to-date information to
comply with NI 31-103, including:                                                          Ensure all members of your organization
                                                                                           understand the implications of the Rule
• Regulatory Discussion: Understand the new Rule as it applies to you                      by sending your entire team to this con-
                                                                                           ference. Take this opportunity to devel-
• SRO Panel: Know how the Rule will affect your category                                   op a shared vision with them. Send your
• Extended Focused Sessions: Specific and highly interactive opportunities                 entire team and increase the potential
                                      to work through your unique challenges               success of your next challenge!
• Referral Arrangements: Be aware of your responsibilities
• Cross Border Registration: What you need to know to stay compliant
• The Derivatives Act: Know how you must respond to the changes
• Proficiency Requirements: Key strategies for meeting your compliance
• Record Keeping: Work through your most pressing concerns
• Transition Period: Ease your firm into the new regime
• Don’t reinvent the wheel: Learn how others are planning to adapt
• Manage the Transition: Get the answers that will ease your regulatory burden

About this conference:                                                 About Strategy Institute:
Strategy Institute is a pioneer in educating industry executives on    Strategy Institute is proud to be a facilitator of information sharing
the progress of the Registration Reform Project. Implementing          for the financial sector for over 15 years. We strive to strengthen
Registration Reform is our 6th in a series of annual events            the foundation of Canada’s investment system through annual
designed to meet and improve compliance within the financial           conferences such as “Compliance and Risk Management
industry by bringing together key knowledge leaders from the           Strategies for ICPMs,” “Soft Dollars,” “The Evolving Role of the
US and Canada. This prestigious summit provides an exceptional         Registration Officer,” “Implementing Registration Reform,” and
learning opportunity for regulatory and compliance stakeholders        many more. Our higher purpose is to provide Compliance and
to come together and share challenges and successes, exchange          Registration Officers with the knowledge and tools they need to
best practices, and provide timely regulatory updates to ensure        ensure a viable and compliant financial system for the benefit of
greater compliance within Canada’s financial system.                   the investing public.
                   DAY 1
           Wednesday, September 16th, 2009

7:45 AM Registration and Continental Breakfast

         Sponsored by:

                                                                 9:45 AM Regulators’ Interactive Q&A Session
                                                                 This engaging session gives you the opportunity to have your
                                                                 questions and concerns answered by Canada’s top regulators.
8:30 AM Opening Comments from the Chair
                                                                 Take away a full understanding of how the latest regulations
         Prema Thiele,                                           will affect your firm
         Borden Ladner Gervais LLP
                                                                 10:15 AM Networking Break
8:45 AM Regulators’ Panel
The Final Version Of NI 31-103 Is Out: This Is                   Interact with conference
                                                                 speakers and fellow
Your Best Chance To Understand What You                          attendees.
Need To Know About The Transition Process
Find out first-hand from this panel of regulators how the new
Rule will affect you and your firm’s future. Get vital           10:45 AM Industry Association and SRO Roundtable
information on:
                                                                 Understanding The Impact Of The New Rule
 • How the regulators will make the transition
 • The changes in categories for firms and individuals           On Your Operations To Better Adapt And
 • Changes to conduct requirements                               Comply With NI 31-103
 • The business trigger for registration
                                                                 With implementation of the new rule set to begin this fall, and
 • The National Registration Requirements Rule and the
                                                                 with far reaching implications for firms across the securities
   National Exemptions Rule
                                                                 sector, this panel of industry association and SRO executives will
 • Update on the National Registration System
                                                                 discuss the changing registration and compliance climate and
Take away the critical information you need to meet compliance   the impact they believe it will have on their industries. Learn
requirements for the new Rule                                    the specific implications of the new rule on your sector of the
         Sophie Jean,            Christopher Jepson,             market.
         Senior Counsel,         Senior Legal Counsel,            • Understand the SRO rules that are being introduced as part
         AMF                     Registrant Regulation,             of registration reform
                                 OSC                              • Find out what potential issues and developments the SROs
         Laura Bliss,                                               are introducing following registration reform
         Senior Legal Counsel,                                    • How will the transition relate to you?
                                                                 Be aware of the new Rule’s implication to your SRO approval
                                                                 and registration categories

                                                                 Rossana Di Lieto,                     Morag MacGougan,
                                                                 Vice President,                       Vice President,
                                                                 Registration and Complaints,          IIAC

                                                                 Karen McGuinness,
                                                                 Vice President, Compliance,

        To register call: 1-866-298-9343 • E-mail:
11:45 AM Remaining Compliant:                                          2:30 PM Cross-Border Impact
Understanding The Implications Of The                                  Understanding How To Meet Regulatory
New Registration Regime’s Referral                                     Conditions For Your Cross Border Business
Arrangements                                                           Relations
The RRP requires to have detailed information of the arrangement       Given how deeply intertwined the Canadian and American
to clients. Adapting to this new rule will require some important      economies are, it is essential that firms on both sides understand
changes to your firm’s referral strategies.                            how the new reforms may impact their cross border business
 • Examine the new requirements and what they mean to you              transactions.
 • Take away key strategies on how to begin the new process             • Ensure a smooth transition in order to maintain smooth cross
 • Learn how to prepare the written documents according to                border business practices
   the new legislation                                                  • Examine the registration of firms in the US capital markets
                                                                        • Understand what is a registerable activity across borders
Gain insight into how referral arrangements will affect your            • Construct strategies to deal with US and Canadian
firm’s compliance strategies in the near and short term - and             regulatory reforms
be prepared
                                                                       Gain valuable insight into how registerable categories in Canada
          Carole Dagher,                        Marsha Gerhart,        and the US will affect your cross border business
          Senior Legal Counsel,                 Legal Counsel,                  Laurie Cook,                 Rena Shadowitz,
          CIBC                                  Borden Ladner                   Partner,                     Senior Legal Counsel,
                                                Gervais LLP                     Borden Ladner                BMO Nesbitt Burns, Inc.
                                                                                Gervais LLP
12:30 PM Networking Luncheon
Join the conference speakers and your peers for a relaxing             3:15 PM Registration Reform And The
luncheon.                                                              Quebec Derivatives Act: Understanding The
                                                                       Implications For Ontario And Quebec
1:45 PM Case Studies: Structuring Your Compliance                      New legislation has been released in Quebec regulating
                                                                       derivatives trading and advising. Harmonization efforts at the
                                                                       CSA level are taking place to discuss how derivatives regulation
The Changing Role Of Compliance Officer:                               will be applied nationally. These new developments will have
How The Changing Regulatory Environment                                important implications for dealers and advisers which will
Will Affect You and Your Department And                                dovetail with the new Registration Regime. Attend this session
Strategies to Respond                                                  and learn all about:
                                                                        • What strategies to devise to prepare for the changes
The new Registration Regime will not only alter the manner in           • The impact of Registration Reform on derivatives trading
which your firm conducts its operations, but it also promises             and advising
to change the way your compliance department functions in               • Ensure continuity in your business model in the face of the
relation to the rest of the firm. This presentation will provide you      new legislation
with key knowledge on:
 • Training registrants on all their responsibilities in order to      Be aware of how the Derivatives Act will affect your operations
    remain compliant                                                            Julie Hesse,
 • Learning how to ensure proper compliance during the                          Partner,
    implementation process                                                      Borden Ladner Gervais LLP

Understand how you can restructure your compliance
                                                                       4:00 PM Conference Adjourns To Day Two
department to remain compliant
          Pam Thadani,
          Asst. Vice President, Chief Compliance Officer,
          Capital International Asset Management                       4:15 PM Evening         Social Activities...
          (Canada), Inc.
                                                                                                   Network with Leaders and
                                                                                                   Industry Stakeholders while
          Carol Sands,
          Chief Compliance Officer,
                                                                                                   enjoying some of the best Toronto
          RBC Asset Management Inc.                                                                has to offer.
                                                                                                   Let us help you coordinate your
                                                                                                   evening plans.**

To register call: 1-866-298-9343 • E-mail:
                                                                  10:30 AM Fund Managers Panel

                   DAY 2
            Thursday, September 17th, 2009
                                                                  Gain Insight Into The Best Practices And
                                                                  Strategies For Fund Managers To Implement
                                                                  The New Registration Regime - And Remain
7:30 AM Registration and Continental Breakfast                    Now that the rule has been finalized and the new regime has
                                                                  been unveiled, it is time to understand how the new rule will
                                                                  affect managers of mutual funds, pooled funds and other
8:15 AM Opening Comments from the Chair                           investment funds, and how implementation can be effectively
                                                                  rolled out. This session will provide best practices for achieving
         Prema Thiele,                                            optimum compliance.
         Partner,                                                  • Examine the best strategies available to deal with conflict
         Borden Ladner Gervais LLP                                    of interest
                                                                   • Outline the steps to meet regulatory compliance on record
8:30 AM Exempt Market Dealers Panel                                   keeping
                                                                   • Detail the implementation procedures specific to fund
Implications Of The Rule For Exempt Market
Dealers: The Best Practices You Need To
                                                                  Take advantage of this interactive session to take away important
Know To Be Compliant
                                                                  strategies for remaining compliant
NI 31-103 will now outline specific requirements for EMDs. This
session will provide essential details on how EMDs must comply             Michael Holder,                 David Cheop,
with the new rule, including strategies for:                               Counsel and Secretary,          Vice President,
                                                                           JovFunds                        Corporate Compliance,
 • How to meet the proficiency requirements
                                                                           Management Inc.                 Investors Group
 • Managing the transition period
 • What the regulators want to see
                                                                           Matthew P. Williams,
Understand how NI 31-103 will affect EMDs and what you                     Lawyer,
must do to comply with these new regulations                               Borden Ladner Gervais LLP
         Ian Pember,
         Vice President, Administration and Compliance,           12:00 PM Networking Luncheon
         Hillsdale Investment Management                          Join the conference speakers and your peers for a relaxing
         David Gilkes,
         Vice President,
         Sutton Boyce Gilkes Regulatory Consulting Group          1:00 PM Transition Period
                                                                  Get The Answers You Need To Manage The
         Ronald M. Kosonic,                                       Transition Period And Ease Your Firm Into
         Borden Ladner Gervais LLP                                The New Regime
                                                                  As the new rules come into effect, it is extremely important that
         Brian Prill,                                             your firm learn how to transition and comply with the new rule.
         President,                                               Attend this session and learn how you can:
         Limited Market Dealers Association of Canada              • Ease the regulatory burden on your firm
                                                                   • Gain the knowledge to enhance your operational
10:00 AM Networking Break                                            performance during the transition
Interact with conference speakers and fellow attendees.            • Identify key strategies to stay on top of the new regulations
                                                                  Take advantage of this highly interactive session to understand
                                                                  how to meet the new regulatory requirements
                                                                            Marsha Gerhart,                 Matthew Campbell,
                                                                            Legal Counsel,                  VP, Chief Legal Counsel,
                                                                            Borden Ladner Gervais LLP       IA Clarington

                                                                            Geoffrey Ritchie
                                                                            Lawyer, Weir Foulds LLP;
                                                                            Executive Director, Limited Market Dealers Association

        To register call: 1-866-298-9343 • E-mail:
 2:30 PM Management and Distribution Issues
 for Pooled Funds from a Registration Perspective                            What past Registration
                                                                             Reform attendees have
 The CSA has approved a new registration category for
 investment fund managers.                                                   said about our events…
  • Clarify what the new regulations mean for pooled fund
  • Assess how the reporting and compliance for registration                        “Veryexperienced in their field and able tospeakers
                                                                                          informative and well planned. The
    will work
  • Understand the special considerations pooled fund
                                                                                    detailed information and answer questions fully.
                                                                                    - Marja-Lisa Shea, Securities Law Specialist, Franklin Templeton
    managers must consider
 Learn how pooled fund managers can comply with this new
 registration category
                                                                                    “Really useful andthe rule and how much affect my
                                                                                    understanding of
                                                                                                        timely. I have a
                                                                                                                         it will

 Kyle Pohanka,                          Wendy House,
                                                                                     - Linda Raffaghello, Law Clerk, McCarthy Tetrault LLP
 Partner,                               CCO,
 Borden Ladner Gervais LLP              Groundlayer Capital
                                                                                    “This conference hasinformative,professional;
                                                                                    moves along well, is
                                                                                                          been very
                                                                                                                     and has excellent
 3:15 PM Conference Adjourns                                                        speakers.
                                                                                    - Shelly Popein Masson,Accounting/Operations, Peters & Co LTD.
  A Sample of Firms Confirmed To Date Include:
    • Aegon Fund Management              • IBK Capital Corp                         “Knowledgeable insight into the Registration
    • Blake, Cassels & Graydon LLP       • Invesco Trimark Ltd.
                                                                                    Reform Project!
                                                                                    - Mary Minos, Director of Regulatory Affairs, CIBC
    • BMO Capital Markets                • Legg Mason Canada Inc.
                                         • MacKenzie Financial
                                                                                    “It givesin the registration field. meet other people
    • Canadian Wealth Management
                                                                                              me the opportunity to
    • Davis-Rea Ltd.                       Corporation
    • Ethidex Inc.                       • Macleod Dixon LLP
                                                                                    - Brigitte Roby, Registration Manager, National Bank of Canada
    • Franklin Templeton                 • Miller Thomson LLP
    • Freedom International              • National Bank Financial
      Brokerage Company
    • Genus Capital Management
                                         • National Bank of Canada
                                         • Peters & Co. Limited
                                                                                    “Excellent conference and to clarify potential
                                                                                    questions/examples helped
                                                                                                              materials. Comments/

    • Greystone Managed
      Investments Inc.
                                         • Resolute Funds Ltd.
                                         • Sentry Select
                                                                                    impact of speakers’ statements.
                                                                                    - Debra Macintyre, Senior Legal Counsel, CIBC Legal Division
    • Heenan Blaikie LLP                 • Stikeman Elliott LLP

                                                                                                             Staying at the hotel has
Our Conference Venue: The Toronto Marriott Bloor Yorkville hotel is located
                                 in the center of downtown Toronto in the fashionable                            ADVANTAGES for you!
                                 Yorkville district providing a unique upscale hotel
                                 experience. Guests have direct access to the Yonge &
                                                                                                          The entire conference will take place inside
                                 Bloor subway lines, world class shopping, dining and                   the Marriott hotel. You will be just steps away
                                 entertainment and are steps away from the Eaton                        from all the sessions and networking action!
                                 Centre, CN Tower, the Art Gallery of Ontario.
                                                                                                         Specially arranged evening SOCIAL ACTIVITIES
                                                                                                        to facilitate peer-to-peer interaction and
                                 Call before August 26 to book your hotel room and
                                                                                                        networking will be taking place in the hotel.
                                 receive our conference rate of $209/night
                                                                                                          Save money! With the special room block
                                 Global Reservations: 1-800-859-7180 | Direct: 416-961-8000             mention “Strategy Institute” you will pay only
                                 90 Bloor Street East | Toronto, Ontario | M4W 1A7 | Canada             $209/night for a standard room in this luxurious

                                 Remember, the Film Festival is a major event                              World class amenities! Experience Marriott’s
                                 in Toronto occurring this week. We strongly                            dining and fitness facilities.
                                 recommend you book your accommodations as                               Bring your spouse and enjoy a mini vacation
                                 soon as possible.                                                      while attending the conference.

 To register call: 1-866-298-9343 • E-mail:
                                                                                                                                           Why you Should Attend
 6 Annual Summit on

                                                                                                                                             Know your Obligations
                                                                                                                                             Transition Smoothly
                                                                                                                                             Adapt to the New Rule
                                                                                                                                             Execute Your Responsibilities
                                                                                                                                             Meet Registration Requirements

Wednesday, September 16 & Thursday, September 17, 2009 | Toronto Marriott Bloor Yorkville hotel | Toronto, ON

ATTENTION MAILROOM: If undeliverable to addressee, please forward to:
Chief Compliance Officer, VP, Compliance and Internal Audit,
Compliance Manager, Compliance Officer, VP, Director,
Manager of Registration
                                                                                                                                            hoW to ReGISteR


                                                                                                                                                        Telephone: 416-944-9200
                                                                                                                                                        1-866-298-9343 (Toll-free)

                                                                                                                                                        Fax: 416-944-0403
                                                                                                                                                        1-866-298-9344 (Toll-free)

                                                                                                                                                        Mail: Strategy Institute
                                                                                                                                                        401 Richmond St. West, Suite 401
                                                                                                                                                        Toronto, Ontario M5V 3A8

Please register this person for: 6th Annual Summit on Implementing Registration Reform                                                     REGISTRATION FEE: The registration fee for the 6th
                                                                                                                                           Annual Summit on Implementing Registration Reform is
                                                                                                                                           $1,795.00 plus GST. This investment includes luncheon, re-

        CONFERENCE INVESTMENT                                                                                                              freshments, networking breaks, continental breakfast, and
                                                                                                                                           original course materials. Payment is required in advance
                                                                                                   Investment                              and can be made by company cheque, VISA, MasterCard, or
                                                                                                                                           American Express. Please make cheques payable to Strategy
          Registration Fee                                                                        ❏ $1,795                                 Institute Inc.

                                                                                                                                             Group Discount

                                                                                                                                            Send 3 delegates and the 4th
        DELEGATE NAME:                                                TITLE:                                                                 delegate attends for free!
                                                                                                                                           GROUP DISCOUNT: A Group Discount is offered for this
                                                                                                                                           conference (not in combination with any other offer). To be
        CITY:                                  PROV/STATE:                         POSTAL CODE:                                            eligible for the Group Discount, delegates MUST register at
                                                                                                                                           the same time. The total discount per delegate (including ap-
        TELEPHONE: (          )                              FAX: (            )
                                                                                                                                           plicable group discounts, etc.) MUST not exceed 25% of the
        MOBILE: (         )                    EMAIL:                                                                                      regular conference cost.
        MANAGER’S NAME:                                               TITLE:                                                               CANCELLATIONS: Cancellations must be received in
                                                                                                                                           writing by September 2nd, 2009. Cancellations received by
                                                                                                                                           this date will be eligible for a prompt refund less a $495.00
                                                                                                                                           administration fee. If you register for the program and do not
                                                                                                                                           attend, you are liable for the full registration fee unless you
        METHOD OF PAyMENT                                                                                       GST# R 1 3 8 7 9 0 6 6 2

                                                                                                                                           cancel according to the terms stated above. If you are un-
        ❏ VISA          ❏ MasterCard   ❏ American Express      ❏ Payment Enclosed                 ❏ Please Invoice Me                      able to attend, delegate substitution is permitted up to, and
                                                                                                    (Invoice due upon receipt)             including, the day of the conference.
                                                                                                                                           **Evening Social Activities: You are responsible for
        CARD NUMBER:                                                                   EXPIRATION DATE:                /
                                                                                                                                           own consumption costs.

        SIGNATURE:                                                                                                                         CONFERENCE CODE: 109016

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