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2015 PCMA Private Capital Markets Conference Agenda
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2015 PCMA Private Capital Markets Annual Conference
“Capital Raising and Effective Regulation – Private Capital Markets and Canada’s Economic Development”

May 19, 2015 | The Toronto Board of Trade | 77 Adelaide St W, Toronto, ON M5X 1C1


7:30 am


Registration and Breakfast


8:15 am


VIP Reception


9:00 am

Welcome and Opening Remarks


Doug Bedard

PCMA Chair


9:05 am


Keynote Speaker

Canada’s economic development and the critical role for private capital, entrepreneurs, and SME’s



Hon. Joe Oliver

Minister of Finance, Canada

9:35 am



CSA Regulatory Update - the view from East to West
Capital raising and prospectus exemptions and the future regulatory oversight of

the private capital markets


Sarah P. Bradley
Chair & CEO
Nova Scotia Securities


Paul C. Bourque
Executive Director

British Columbia Securities



10:20 am  



Building the infrastructure of our private capital markets and making our voices heard.


Geoffrey Ritchie

Executive Director



10:40 am


Networking Break 


11:00 am



The Changing Eco-System of Private Capital
Exploring the new connections between Private Equity, Angel Investing, Government Funding

and new capital raising tools.


Ian Bandeen

National Angel

Capital Organization



Marc Kaipio

Capital Markets
The Funding Portal




Richard Remillard

Remillard Consulting Group

PCMA Director


12:00 pm



Lunch and 2015 PCMA Awards Ceremony

Presented by: Barry Critchley, National Post




Barry Critchley


Financial Post


1:30 pm




Compliance Corner - Client Suitability
Strategies for aligning clients and products, ensuring your Suitability assessments withstand

the increasing regulatory scrutiny. Best practices for protecting your business and staying on

the right side of the regulators.



Peter Dunne


Cassels Brock &

Blackwell LLP

David Gilkes


North Star Compliance and Regulatory Solutions

PCMA Vice Chair

Phil du Heaume

Vice President - Legal

Raintree Financial Solutions

Nadine Milne

Chief Compliance


Portland Investment

Counsel Inc.

2:30 pm



Concurrent Session #1 (3rd Floor, Ketchum/Osgoode/MacDonald/Brule Room)
Avoiding Risk in your AML / KYC programs – protecting your practice from

common regulatory problems and being ready for regulatory reviews.


Jennifer Fiddian-Green


Grant Thornton LLP

Rebecca Ip

Senior Manager Risk &



Matthew McGuire
National Anti-Money

Laundering Practice Leader



Concurrent Session #2  (4th Floor, Main Ballroom)
Private Capital, Financial Planning and the Retail Investor – a planning based discussion

of best practices amongst leading portfolio managers,dealing representatives and

private capital market professionals


  Karen Azlen
Founding Partner and CEO
Introduction Capital Inc

PCMA Director

John Malyk

Certified Financial Planner
Investment Planning Counsel

Fraser McEwen

Director of Retail

Capital Markets

GMP Securities L.P.

Matt Reynolds
Executive VP
Lonsdale Wealth Partners

PCMA Vice Chair

3:30 pm


Networking Break


3:45 pm



Concurrent Session #3 (3rd Floor, Ketchum/Osgoode/MacDonald/Brule Room)
When Compliance Reviews Don’t Go As Planned

Managing reviews, resolving problems and what to do when Enforcement gets involved.


Jordan Glick


WeirFoulds LLP

Melissa MacKewn


Crawley MacKewn Brush LLP

Janice Wright


Wright Temelini LLP




Concurrent Session #4 (4th Floor, Main Ballroom)
Issuers and private fund manager workshop -

Maximizing opportunity among disharmonized offering rules

and strategies for effective partnerships with Exempt Market Dealers


Jennifer L. Jackson

President and

Chief Operating Officer 

Solar Income Fund

Frank Laferriere

Senior VP and

Chief Operating Officer  

Portland Investment Counsel   

PCMA Director


Michael Pavicic


Walton Capital

Management Group

4:45 pm


The Economic Impact of Private Markets

Private capital markets: the size and scope of activity, and what the future may hold



Dr. Jack Mintz

Director, School of Public Policy, University of Calgary

5:25 pm


Closing Remarks


5:30 pm

Cocktail Reception