Topic: Compliance – a critical function in the securities regulatory regime
One of the key goals of the BCSC is to promote a culture of compliance. Market integrity is enhanced and investors are better protected if securities firms and companies understand and comply with their regulatory obligations. These firms and companies must have effective systems and controls in place to ensure compliance with securities rules.
Speaker: David Rajanayagam, CPA, CA – Compliance Analyst, BCSC
David is a Compliance Analyst with the BCSC’s Adviser and Investment Fund Manager team. He and his team oversee more than 80 registrant firms that manage in excess of $150 billion in assets. David’s role involves performing compliance reviews of registered firms to assess compliance against securities regulations. David also acts as a relationship manager for registrants by providing them a point of contact at the BCSC to assist firms in maintaining compliance. David volunteers with Junior Achievement’s Investment Strategies Program which aims to promote financial literacy and investment basics among secondary school students in Vancouver.
ACFE Vancouver Chapter