May 2nd and 3rd, 2017 | Toronto, ON

SAMPLE ATTENDEE LIST

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May 2nd and 3rd, 2017 | Toronto, ON

Chair & CEO, Canadian Securities Transition Office Chair & CEO, Alberta Securities Commission CEO, 18 Asset Management Inc. CEO, Gillford Capital Inc. CEO, IFS Tech Inc. CEO, Secure Capital Group President & CEO, AUM Law President & CEO, Canoe Financial President & CEO, Investment Funds Institute of Canada (IFIC) President & CEO, Investment Industry Regulatory Organization of Canada (IIROC) President, Brookstreet Mortgage Investment Corporation Inc. President, Centurion Asset Management Inc. President, Compliance Support Services President, Dixen Mitchell Investment Counsel President, Domus Financial Corporation President, North Star Compliance & Regulatory Solutions Inc. President, Owens MacFadyen Group President, Sprucegrove Investment Management President, TIMC President, Vault Mortgage President & Director, Mawer Investment Management Ltd. President & Founding Partner, Purefacts Financial Solutions EVP, Canada Sales, Walton Capital Management Inc. EVP & Senior Policy Advisor, Canadian Securities Transition Office SVP & CCO, Canoe Financial SVP & CCO, Northern Trust SVP & CFO, Heward Investment Management SVP & Director, MNP Corporate Finance Inc. SVP, Enforcement, Member Policy and Registration, Investment Industry Regulatory

Organization of Canada (IIROC) SVP, Fund Oversight, Fidelity Investments Canada ULC SVP, Legal & Risk, Chief Counsel, Credential Securities Inc. SVP & Managing Director of Sales & Relationship Management, State Street Global

Advisors Ltd. SVP, Member Regulation, MFDA VP, J.P. Morgan Asset Management VP, Silver Maple Ventures Inc. VP, TMX Group

VP & Associate General Counsel, Scotiabankwww.registrationreform.com Follow Us On Twitter

VP, Business Development, Compliance and Operations & Partner, Van Berkom & Associates

VP, Business Solutions, Broadridge VP & CCO, A I M Management Group Inc. VP & CCO, Invesco Canada VP & CCO, MFS Investment Management Canada Ltd. VP, Compliance & CCO, CI Private Counsel LP VP, Compliance & CCO, Empire Life Insurance VP, Compliance, Enterprise Wealth Management Group, BMO VP, Compliance, Fidelity Investments Canada ULC VP, Compliance, International Financial Data Services – IFDS VP, Compliance, NEI Investment VP, Compliance, OMERS Administration Corporation VP, Compliance, State Street Global Advisors Ltd. VP, Compliance and Operations, Westwood International Advisors VP, Compliance Officer and Operation Manager, Evans Investment Counsel VP, Corporate Compliance, Investors Group VP, Corporate Compliance & Oversight, AGF Management Ltd VP, Corporate Sales, IFS Tech Inc. VP, Digital Marketing, Macquarie North America – Banking and Financial Services Group VP, Finance, Duncan Ross Associates Ltd. VP, Finance, Highstreet Asset Management VP, Finance, Investment Planning Counsel VP, Finance, Sector Mortgage Management Inc. VP & General Counsel, Front Street Capital VP, General Counsel & CCO, Cardinal Capital Management VP, Government Relations, Investment Adviser Association VP, Head of Legal & Compliance, Burgundy Asset Management VP, Investor Relations, Rompsen Investment Corporation VP, Legal, Fidelity Investments VP, Legal, Corporate & Compliance Group & Head of Policy Development, BMO VP, Member Regulation Policy, IIROC VP, Policy & General Counsel & Corporate Secretary, Mutual Funds Dealers Association VP, Regulatory Affairs, IGM Financial AVP, Sun Life Financial AVP & CCO, Capital International Asset Management (Canada) Inc. AVP, Compliance & CCO, Sun Life Financial AVP, Corporate Compliance, Sun Life Financial AVP, Compliance Investments, Sun Life Financial AVP, Individual Compliance, Sun Life Financial AVP, Legal and Regulatory Compliance, Primerica Financial Services Ltd AVP, Regulatory Compliance, HSBC Private Wealth Services AVP & Senior Counsel, Sun Life Financial Partner, Blake, Cassels & Graydon LLP

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Partner, Borden Ladner Gervais LLP Partner, Cassels Brock & Blackwell LLP Partner, Crawley Meredith Brush MacKewn LLP Partner, Fasken Martineau Partner, Gardiner Roberts LLP Partner, Troys LLP Partner, Operational Taxes, Canadian Market Leader, Ernst & Young Director, IIROC Director, TMX Group Director of Administration, Controller, IBK Capital Corp. Director, Business Development, PureFacts Director, Capital Markets Regulation, British Columbia Securities Commission Director & CCO, 1832 Asset Management LP Director, Client Distributor Product Relationship Management, International Financial

Data Services (IFDS) Director, Compliance, ATB Investor Services Director, Compliance, Greystone Managed Investments Inc. Director, Compliance, Guardian Capital Group Director, Compliance, Nicola Wealth Management Ltd. Director, Compliance, Scotia Capital Inc. Director, Compliance, Sun Life Financial Director, Compliance and Corporate Secretarial, Morgan Meighan & Associates Ltd Director, Compliance and Registrant Regulation, Ontario Securities Commission Director, Corporate Compliance, Morgan Meighan Associates Ltd Director, Derivatives, Ontario Securities Commission Director General, APFA (UK) Director, Investigations, IIROC Director, Market Regulation, Alberta Securities Commission Director, National Field Compliance Advisory Services Director, Operations and CCO, Assumption Life Director, Operations and Compliance, MNP Corporate Finance Inc. Director, Policy & General Counsel & Corporate Secretary, IFIC Director, Sales, Markit WSO Director & Senior Counsel, BMO Director, Strategy and Planning Global Information and Technology Risk Management,

BMO Director, Supervision of Intermediaries, AMF Associate Director and Compliance Officer, UBS Bank Canada Deputy Director, Compliance and Registrant Regulation, Ontario Securities Commission Executive Director, Exempt Market Dealers Association of Canada Executive Director, Monarch Wealth Corporation Managing Director, Compass360 Consulting Inc. Managing Director, IIAC Managing Director and Senior Consultant, Investor Economics

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Technical Director, QMB Barrier Systems Head of Legal and Compliance, Vanguard Investments Canada Acting Country Head of Regulatory Compliance, HSBC Canada CCO and VP, Law, Walton Capital Management Inc. CCO, ACM Advisors CCO, Baillie Gifford & Co CCO, Barometer Capital Management CCO, Bellotti Capital Partners CCO, Black Creek Investment Management Inc. CCO, BNY Mellon Asset Management Canada Ltd. CCO, Bridging Finance Inc. CCO, Cordiant Capital CCO, First Asset CCO, FundEX Investments Inc. CCO, General Re-New England Asset Management CCO, Gluskin Sheff & Associates Inc. CCO, Groundlayer Capital CCO, HSBC Global Asset Management (Canada) Ltd CCO, HSBC Investment Funds (Canada) Inc. CCO, Investia Financial Services CCO, MFC Global Investment Management / Manulife Asset Management Ltd. CCO, MNP Corporate Finance Inc. CCO, Monarch Wealth Corporation CCO, Peters & Co. Ltd CCO, Purpose Investments Inc. CCO, ROI Capital CCO, Sionna Investment Managers CCO, Thornmark CCO, TIMC CCO and Controller, QV Investors Inc. CCO and COO, Encasa Financial Inc. CCO and Deputy Chief Legal Officer, BNP Paribas Investment Partners CCO and General Counsel, Timbercreek Asset Management CCO and General Manager, Fisgard Asset Management CCO and Head of Operations, McLean & Partners Wealth Management CCO and Legal Counsel, Bridgehouse Asset Managers CCO and Legal Counsel, UBS Asset Management (Canada) Ltd CCO and Operations Manager, Oberon Capital Corporation CCO (Canada) and Senior Legal Counsel (North America), BNP Paribas Investment

Partners Canada Assistant CCO, FundEX Deputy CCO & Regional Director for Fintrac Central, Fintrac CFO and CCO, CGOV Foundation CFO and CCO, FrontFour Capital Corporation

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CFO and CCO, Genus Capital Management CFO and CCO, TriView Capital Ltd. CFO and CCO, W.A. Robinson & Associates Ltd CFO, Annapolis Capital Limited CFO, Investment Planning Counsel CFO, Front Street Capital CFO, Gluskin Sheff CFO, Nicola Wealth Management Ltd. CFO, Palos Management Inc. CFO, SCM Securities LP CFO, Value Partners Investments CFO and COO, Newport Private Wealth Chief Investment Officer and CCO, Independent Accountants Investment Counsel Inc. CMO, Socialware COO, AIMA Canada COO, Barometer Capital Management COO, GF Securities Canada Company Ltd. COO, Shorcan Brokers Ltd. COO, Stonebridge Financial Corporation COO, Tullett Prebon Chief Regulatory Counsel, AUM Law Deputy Chief Regulatory Counsel, AUM Law Senior Manager, Compliance, Canoe Financial Senior Manager, Compliance, RBC Global Asset Management Senior Manager, Compliance, TD Senior Manager, Compliance and Registrations, ATB Financial Senior Manager, Financial Services Tax, Ernst & Young LLP Senior Manager, Head Office Compliance, Credential Financial Inc. Senior Manager, Public Affairs, IFIC Senior Manager, Risk Management, HSBC Global Asset Management Senior Manager, Strategic Product Development, Broadridge Senior Product Manager, Broadridge Senior Product Manager, TMX Group Senior Risk Manager, NBCN Inc. Associate Manager, Audit, Investors Group Manager, Baillie Gifford Manager, Business Analysis, Purefacts Financial Solutions Manager, Compliance, EdgePoint Investment Group Inc. Manager, Compliance, Manulife Asset Management Manager, Compliance, Value Partners Investments Manager, Legal Services, Capital Markets Regulation, British Columbia Securities

Commission Manager, Legal Support Services, Goodman and Company, Investment Counsel

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Manager, Regulatory & Policy Governance, TD Asset Management Business Consultant, Process and Projects Manager, Manulife Securities Client Relationship Manager, SIX Financial Information Country Manager – Canada, Nice Actimize Compliance Manager, Palos Management Inc Compliance Manager, Walton International Group Finance Manager, Grafton Asset Management Lead Product Manager – Supervision and Conflict Resolution, Nice Actimize Marketing Manager, Duncan Ross Associates Ltd New Business Development Manager, Ethidex New Businesses Manager – TMX Security Risk Ratings, TMX Group Operations and Compliance Manager, Epic Capital Management Inc. Portfolio Manager, Duncan Ross Associates Ltd. Portfolio Manager, Wickham Investment Counsel Product Manager, Broadridge Risk Manager, NBCN Inc. Senior Account Executive, Broadridge Financial Solutions Senior Account Executive, IFS Tech Inc. Senior Account Executive, Univeris Corporation Senior Analyst, Investment Banking, Bellotti Capital Partners Inc. Senior Compliance Officer, BMO Senior Compliance Officer, Lombard Odier Transatlantic Senior Compliance Officer, TD Wealth Private Investment Advice Senior Consultant, Compliance, Manulife Asset Management Senior Counsel, Wealth Management, BMO Senior Editor, Investment Executive Newspaper for Financial Advisors Senior Editor for Advisor group, Rogers Communications Senior Forensic Accountant, Ontario Securities Commission Senior Legal Counsel, British Columbia Securities Commission Senior Legal Counsel, HSBC Senior Legal Counsel, IIROC Senior Legal Counsel, Investment Funds, Ontario Securities Commission Senior Legal Counsel, Registrant Conduct & Risk Analysis, Ontario Securities Commission Senior Legal Counsel, Registrant Regulation, Ontario Securities Commission Senior Policy Advisor, IFIC Assistant Editor, Advisor Group, Advisor.ca Compliance Consultant, Taking Companies to the Next Level Compliance Head, Bull Wealth Management Compliance Officer, New Brunswick Securities Commission Compliance Officer, TriView Capital Ltd. Compliance Officer Assistant, Rosco Trading International Ltd. Legal Counsel and Compliance Officer, 3Macs Legal Counsel and Compliance Officer, Canso Investment Counsel Ltd. Legal Counsel and Senior Compliance Manager, Vanguard Investments Canada

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Securities Registration Officer, Osler, Hoskin & Harcourt LLP Special Advisor to the Chair, Canadian Securities Transition Officer ACCO – Brand Audits, Investia Financial Services Account Executive, IFS Tech Inc. Accountant, Ontario Securities Commission Administrative Assistant, Duncan Rose Associates Ltd Administrator, ICSA Canada Assistant Counsel, Manitoba Securities Commission Associate, AIMA Canada Associate, Borden Ladner Gervais LLP Associate, Gardiner Roberts LLP Associate, Heenan Blaikie LLP Associate, Stikeman Elliott LLP Auditor, Investors Group Compliance Administrator, Cranson Capital Securities Compliance Analyst, BNY Mellon Compliance Associate, Gyphon Investment Counsel Inc. Corporate Secretary and Executive Assistant to the CEO, W.A. Robinson & Associates Ltd Counsel, Credential Financial Inc. Counsel, One State Farm Plaza Counsel, Osler, Hoskin & Harcourt LLP Deputy Ombudsman Investments, Ombudsman for Banking Services and Investments Economist, Federal Department of Finance Financial Market Specialist, Autorite des marches financiers General Counsel, Investment Advisor Association General Counsel, Natixis Global Asset Management General Counsel & CCO, 3Macs General Counsel and Corporate Secretary, Sentry Investments General Counsel, Corporate Secretary & VP, Policy Investment Funds Institute of Canada

(IFIC) Independent Consultant, CIBC Global Asset Management Inc. ICI Global Trading & Markets Committee, TD Asset Management Inc. In-House Counsel, Baskin Financial Services Inc. Lawyer, McCarthy Tutrault Legal Counsel, AUM Law Legal Counsel, Credential Financial Inc. Legal Counsel, MNP LLP Legal Counsel, Osler, Hoskin & Harcourt LLP Legal Counsel & Compliance, 18 Asset Management Legal Counsel, Investment Funds Branch, Ontario Securities Commission Legal Counsel Enforcement, Financial and Consumer Services Commission Litigator, Borden Ladner Gervais LLP Policy Counsel, Investment Industry Association of Canada (IIAC)

Program Architect, KBOSwww.registrationreform.com Follow Us On Twitter

Regulatory Development Analyst, Baillie Gifford Sales Specialist, IRESS Securities Law Clerk, Goodmans LLP Securities Law Clerk, WierFoulds LLP Solutions Specialist – Private Wealth, IRESS Specialized Advisor – Wealth Management Compliance, National Bank of Canada

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