On May 4, Ropes & Gray investment management counsel David Tittsworth delivered the keynote presentation at the Registrant Regulation: Conduct & Compliance, in Toronto, Canada. Mr. Tittsworth’s presentation was entitled “Stay up-to-date with Changes at the SEC and MiFID II to Enhance your Compliance Program.” Registrant Regulation 12th annual event is designed for investment funds, portfolio managers and EMD, and additional panels considered:
- Why the compliance function is now vital to business success and what that means for your career
- The latest updates from the CSA
- What impact global regulatory decisions could have on Canada
- Financial planning harmonization
- Avoiding conflict of interest in sales practices
- The future of monitoring processes and technology
- Providing suitable advice to older investors
- Complying with CSA Staff Notice 46-307 Cryptocurrency Offerings
- Implementing Fintech developments in compliance with regulations
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