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.

2022 Compliance Forum

The 2022 Compliance Forum will be held on June 20th prior to the 2022 Canadian Annual Derivatives Conference at the Fairmont The Queen Elizabeth. Please confirm your attendance by emailing us at info.mxr@tmx.com. A continental breakfast will be served, so should you have any food allergies, we kindly ask you to inform us in advance.

The Compliance Forum qualifies for IIROC continuing education credits (Course ID: 22-0786CP).

Please contact us for conference call dial-in details.

June 20th (10 AM to 12 PM) Tentative Agenda

TopicDetailsSpeaker
Introductory remarks
  • Regulatory Division structure
  • Responding to inquiries
  • Recap of initiatives / publications
  • Navigating Bourse rules
Karen McMeekin
Compliance in the post-pandemic world… what have we learned? Julie Rochette
Regulation
  • Sector index futures position limit methodology
  • New landscape - emerging types of manipulative trading: momentum ignition, bait & switch
Marc Komlossy
Technology
  • Surveillance system implementation
  • Portal enhancements / new modules
Vincent Pivin‑Dans
Core Regulatory Functions
  • Examination findings
  • Control failures / remediation
  • Best practice recommendations / Virtual Interviews / Responding to RFIs
Rosanna Sciortino
Upcoming initiatives
  • Prearranged transaction marker
  • Client identifier and other markers at order entry
Steve Badra‑Quirion
Conclusion and Q&A Karen McMeekin