Compliance Forum

About the Compliance Forum

The Compliance Forum is a free of charge in-person event to discuss key regulatory matters of the Bourse.

2023 Compliance Forum

The 2023 Compliance Forum will be held on June 7th from 2 PM to 4:30 PM at the head office of the Montréal Exchange (1800-1190, avenue des Canadiens-de-Montréal, Montreal) prior to the 2023 Canadian Annual Derivatives Conference which will be held the following day. Please confirm your attendance by emailing us at info.mxr@tmx.com

The Compliance Forum qualifies for IIROC continuing education credits (Course ID: 23-0369C)

A cocktail will take place following the presentation from 4:30 PM to 6 PM

June 7th (2 PM to 4:30 PM) Tentative Agenda
Topic and DetailsSpeaker
Introductory Remarks
  • Introductory remarks
  • New governance structure
Karen McMeekin
Client and Order Identifiers
  • Technology
Vincent Pivins-Dans
Regulation
  • Position limits
  • Reports of transactions in OTC options
  • Prearranged transaction (“intent to cross”) marker
Marc Komlossy
Upcoming initiatives Spot month position limits:
  • Cash-settled interest rate LP
  • GoC Bond LP
Steve Badra-Quirion
Core Regulatory Functions
  • Order identification/account type supervision
  • Prearranged marker (“intent to cross”) supervision
  • Cybersecurity monitoring and reporting
  • Reports of Accumulated Positions
Rosanna Sciortino
Conclusion and Q&A Karen McMeekin