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

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
  • 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