Who We Are

Founded in 2000, the Association of Canadian Compliance Professionals (“ACCP”) is an organization representing individuals who have chosen compliance as their career and who are dedicated to improving compliance operations within the mutual fund dealer community.

The ACCP, in partnership with the Investment Funds Institute of Canada (“IFIC”), are hosts of the ANNUAL COMPLIANCE FORUM. Marking the 8th anniversary of this event this year, this conference provides a comprehensive one-day agenda dedicated to the field of compliance and regulatory requirements in the securities industry.

The ACCP operates chapters in British Columbia, Alberta, Saskatchewan, Manitoba, Ontario, and Quebec and as of December 31, 2007, the ACCP had over 150 compliance professionals as active members across Canada.

For more information, contact us at info@complianceprofessionals.ca

2009 Meeting Schedule
 

Events

Mandate

The mandate of the ACCP is to:

• Promote professionalism amongst compliance professionals

• Provide and sponsor educational programs

• Alert members to important regulatory developments

• Recommend best practices

• Act as an advocate on compliance and regulatory matters
   

Regulatory Developments

Suitability:

• MFDA MR-0069:
   

• Proposed Amendments – MFDA Rule 2.2 and Policy 2:

Client Relationship Model:

• Proposed Amendments – MFDA Rule 2.8 and 5.3
   

Registration Reform:

• National Instrument 31-103
   

Point of Sale Disclosure:

• National Instrument 81-406

Proceeds of Crime (Money Laundering) Terrorist Financing Act

• Compliance Regime
  Compliance Cont.

• Administrative Monetary Penalties for Non-Compliance
   

Do Not Call List

• CRTC Do Not Call List
   

ACCP Board Members

June 2009-The Association of Canadian Compliance Professionals (“ACCP”) is pleased to announce the appointment of Sandra Kegie as Executive Director. In this position Sandra will provide leadership, management and oversight over the business activities of the ACCP, as well as provide expertise, guidance and represent the ACCP in all dealings with the regulators and the media on issues that impact the ACCP constituency.

Sandra brings with her extensive industry experience, which includes working with the regulators, and as a chief compliance officer of mutual fund dealers. Currently Sandra is working as a compliance consultant with her firm Kegie Consulting Corp. as well as holding the position of Executive Director of the Federation of Mutual Fund Dealers. Sandra is also a co-founder and past chair (7 terms) of the ACCP.

Sandra’s knowledge and experience working as a regulator, chief compliance officer and compliance consultant gives her and the ACCP a full perspective on issues impacting the ACCP constituency.

Effective June 1, 2009, the ACCP Executive is comprised of the following individuals: