In this session we will discuss real life examples of supervisory missteps, how conflicts of interest risk (NI 31-103, Staff Notice 31-363 and Staff Notice 33-759) can be identified, resolved and documented to mitigate dealers’ exposure, including:   

• Missteps that supervisors make that lead to litigation, bad audits and reputational damage 
• Disclosure: timing, and whether it will cut it with the regulator and 
• How to look down the road to ensure Outside Activities and Client Relationships do not lead to conflicts 

Ellen Bessner, Partner, Babin Bessner Spry
Amy Tsai, CCO, RBC Dominion Securities Inc. (Retail)
Elisabeth Chamberland, CCO, Services en placements PEAK