Larry Keating (CEO, NPC) will be participating on a panel of security experts at this year's Small & Independent Dealers Symposium, an annual event hosted by the Investment Industry Association of Canada.

This is a full day event which brings together industry professionals for a practical and solution driven discussion about current policy and regulatory issues affecting small and independent dealers. The Small & Independent Dealer Symposium has consistently been a very well-received event and attracts approximately 100 senior delegates.

The Symposium provides ample networking opportunities with peers throughout the day and during the cocktail reception. Panel sessions to include:

• Cyber Security – Keeping Your Business and Clients Safe – Larry Keating (NPC DataGuard) and J. Paul Haynes (eSentire Inc.)
  
  
• Canadian Anti-Spam Legislation (CASL) – Compliance Issues for the Financial Industry – Adam Kardash (Osler, Hoskins and Harcourt)
  
  
• Current Tax Related Issues for Small Dealers – Dan Lundenberg (Grant Thornton) and Barb Amsden (IIAC)
  
  
• Legal and Regulatory Issues for Small Dealers; Identifying and Closing the Gaps – Ellen Bessner (Babin, Bessner, Spry.com)
  
  
• Moving to Managed Accounts – Issues and considerations in transforming your business from traditional retail to managed accounts
  

 

 

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