On Thursday, March 27, 2014, Michelle Alexander, IIAC Vice President and Corporate Secretary, participated in a two-person panel discussion at the National Society of Compliance Professional’s annual Toronto Regional Conference. Joining Michelle on the panel was Paul Riccardi, Senior Vice President, Enforcement, Member Policy & Registration, IIROC, while Ellen Bessner, Partner, Babin Bessner Spry LLP, served as the moderator. The panel focused on the following areas:
• Changes in the regulators’ priorities and new rules for 2014; • Regulatory enforcement changes that have been made and how to manage; and • What is coming down the pike for exam … Continue reading →