Canada's Finance Regulators Address the Changing Investment Management Regulatory Environment

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BCSC, OSC, IIROC, and AMF discuss impending securities regulations and their impact on Canada's buy and sell side traders.

Key securities officials will meet to discuss the current regulatory environment for Canadian equity trading on Dec. 10, 2009 in Toronto at the fourth annual TradeTech Canada institutional equity trading conference.

Among the regulatory representatives who will be present on Dec. 10 are:

Sandy Jakab, Director, Capital Markets Regulation, British Columbia Securities Commission (BCSC), Susan Greenglass, Acting Director, Market Regulation, Ontario Securities Commission (OSC), Felix Mazer, Policy Counsel - Market Regulation, Investment Industry Regulatory Organization of Canada (IIROC), and Serge Boisvert, Regulatory Analyst, Autorite Des Marches Financiers (AMF).

In a panel discussion, these regulators review soft dollar arrangements and commission sharing arrangements (CSA)/client commission agreement (CCA) policy. They will examine current and proposed regulation to protect against trade-throughs. The panel will also address changing best execution requirements and the impact these requirements have on buy and sell side trading desks.

"The regulatory environment is changing drastically given the fallout of the 2008 global financial crisis," says Sara Mueller, Executive Director of TradeTech North America. "These regulatory representatives will shed light on what buy and sell side traders can expect for their trading operations in 2010. It's an honor to have them on the TradeTech Canada 2009 program."

The panel discussion will be moderated by Ellen Lee, Vice President of Risk Management, TD Asset Management, one of Canada's largest investment managers.

For more information on TradeTech Canada, please visit


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