Compliance Forum

About the Compliance Forum

The Compliance Forum is a free of charge in-person event, organized by the Regulatory Division of the Bourse of Montreal, to discuss key regulatory matters.

2024 Compliance Forum

The 2024 Compliance Forum will be held on May 21st from 2:00 PM to 4:30 PM (ET) at the head office of the Montréal Exchange (1800-1190, avenue des Canadiens-de-Montréal, Montreal) prior to the 2024 Canadian Annual Derivatives Conference which will be held the following day. 

A limited number of places are available. Please reserve and confirm your attendance by emailing us at

The Compliance Forum qualifies for CIRO continuing education credits (Course ID: 24-0988C)

A cocktail will take place following the presentation from 4:30 PM to 6 PM. Please let us know if you have any food allergies or special dietary needs.

The agenda is as follows:

  • Welcome note
Karen McMeekin
Market Analysis
  • Order Priorities/Order Identification
  • Contract roll strategy - EFRP/Block trades
  • EFRPs - acceptable cash instruments
Marc Komlossy
Core Regulatory Functions
  • Surveillance system alert parameter reviews
  • Position Limit monitoring
  • Sponsored Access/DEA Clients - Updates to client list
Rosanna Sciortino
  • Joint examinations and cross-surveillance with CIRO
John Cambareri
Michael Librizzi
  • 2023-2024 disciplinary decisions
Annie Leblanc
Ongoing Initiative
  • Guaranteed Cross Auction Market
Etienne Menard
Daniel Fontaine
  • Position Limits files
  • Client and Order Identifiers

Vinesh Umanee

Upcoming initiatives
  • Continuous disclosure
  • Approved Persons regime
  • Minor Violations Framework
Vinesh Umanee

Marc Komlossy
Conclusion and Q&A