COMPLIANCE FOR INVESTMENT PORTFOLIO MANAGERS COURSE

Compliance in investment fund advertising and marketing
Darin R. Renton

Developing an investment compliance monitoring program utilizing the tools and scale of a global custodian
Fidae Abbas

The registration reform project and compliance
Richard E. Austin

Tax compliance for Portfolio Managers: Recent tax developments
Judith Harris

Marketing practices and the global investment performance standards (GIPS)
Michael Lowry

Panel discussion: Marketing corporate governance in Canada's Corporate markets more effective
Richard E. Austin

Richard E. Austin recently joined Borden Ladner Gervais LLP as Counsel. He began his career as a financial services lawyer and has spent the past 22 years involved in securities, mutual fund dealer, financial planning and securities dealer matters. He has worked for the OSC, a national financial planning firm and most recently was Deputy Head of Compliance, Wealth Management for a Schedule I bank.

Fidae joined State Street in 1996 and prior to his current role has managed multiple operations units providing fund administration and compliance monitoring services to a variety of pension plans, public funds, foundations, mutual funds and offshore structured products. In his current role, Fidae has product management responsibility for the investment compliance product across all Investor Services business units at State Street as well as operational and client service responsibility for a significant number of State Street’s compliance customers.

Darin Renton is a partner in the Toronto corporate and securities department of Stikeman Elliott whose practice emphasizes corporate finance, corporate reorganizations and mergers and acquisitions. Mr. Renton advises a wide range of issuers and investment dealers in connection with private equity transactions and investment funds, including investment trusts, hedge funds, flow-through limited partnerships and other structured products. He has significant experience acting for underwriters and issuers in public offerings, including shelf, short form, MJDS and “bought deal” financings and private placements. Mr. Renton also advises public issuers (including TSX and TSXV listed issuers) on regulatory compliance matters, corporate governance and continuous disclosure obligations.

Katie Walmsley was appointed President of the Investment Counsel Association of Canada (“ICAC”) in 2006. The ICAC represents Canada’s investment counsel and portfolio management industry with approximately 100 member firms from across Canada, managing over $630 billion in assets for individual and institutional investors.

Mr. Lowry graduated from U of T in 1981 with a B.Comm and articled with Deloitte. He received his CA designation in 1984. After Deloitte, Mr. Lowry held progressive senior officer level positions in several major Canadian financial services institutions including CFO for Chubb Insurance Company of Canada, Assistant Vice President Strategic Planning for the Dominion of Canada General Insurance Company and Vice President Controller for the Regional Services Centers of Household Finance. In 1993 he founded Investors Choice Financial Management Ltd.

Judith Harris is a senior partner in the firm’s Tax Department based in our Toronto office. She advises clients on income tax matters relating to domestic and foreign business ventures, acquisitions, corporate reorganizations and investment vehicles. She is also a past-chair of the Executive Committee of the Canadian Bar Association – Ontario Taxation Section.

Judith is a contributing editor of Business Vehicles, a journal devoted to the tax analysis of alternative business structures. She has been a seminar instructor in the business and tax law sections of the Law Society’s Bar Admission Course and has published and presented papers at a number of tax seminars and conferences.

Nadine Kloetzel is a Director in the Regulatory Advisory Services practice for PricewaterhouseCoopers in Canada. Nadine focuses on providing advice and assistance to public companies and financial services companies on how to deal with regulatory and risk issues facing their business. She has over 14 years of experience in the financial services industry.

Nadine has participated in various regulatory consulting engagements including comprehensive compliance reviews of policies, procedures and practices relating to anti-money laundering, privacy, personal trading, corporate finance, investment fund, retail trading and institutional trading activities. Nadine has contributed to many assignments involving various regulators, including the SEC, OSC, the OSFI, the IDA, MFDA, and RS.

Ms. Bessner is a litigation partner in Gowling’s Toronto office. She regularly represents financial institutions, brokerage firms, corporations and individuals in all aspects of commercial and securities issues, employment law and professional liability, including investment advisors, financial advisors, branch managers, CEOs, CFOs, COOs, CCOs, compliance officers, insurance brokers, insurance agents and MGAs.

Ms. Bessner appears before the Superior Court of Ontario and the Ontario Court of Appeal, and various tribunals, including the Investment Dealers Association, Mutual Fund Dealers Association, the Ontario Securities Commission, the Financial Services Commission of Ontario, Market Regulations Services Inc., the Ontario Human Rights Commission and the Employment Standards Act Tribunal. Ms. Bessner is a regular speaker at Industry (MFDA, IDA, Provincial Securities Commissions, IFIC, Advocis, ACCP) and Dealer conferences. She writes regularly for the National Post and has written extensively for industry publications on matters of risk management and compliance, has co-written a paper on investment advisors’ liability for the Canadian Securities Institute’s continuing education program, and published a paper on the Fair Dealing Model.

Ms. Bessner is the author of the book, Advisor at Risk, available on April 24, 2008 in Chapters/Indigo stores. She offers compliance, risk management and AML courses to dealers, for Compliance Officers, Branch Managers, Advisors and Institutional Traders, which have been recognized by SRO’s and industry organizations for CE credits. She is also the Editor-in-Chief of Gowlings’ newsletter Compliance@Gowlings, a bulletin designed to support dealers and advisors with compliance and legal issues in the financial industry. Ms. Bessner has been retained by MFDA members, and recognized by the MFDA as an Independent Consultant for testing and reporting purposes.Ms. Bessner was called to the Ontario Bar in 1989 after completing her LLB at Osgoode Hall Law School and her Bachelor of Commerce at McGill University. Ms. Bessner is a member of the Canadian Bar Association, the Law Society of Upper Canada, the Advocates Society and Women in Capital Markets.