Presented in partnership with:
The long-awaited (since March 2013) modernization of National Instrument 81-102 in January this year allowed IIROC dealers to distribute Alternative strategy funds to their ‘true retail’ clients. The funds are limited in their use of leverage and shorting, but can do a great deal more than mutual funds until the new rules were promulgated.
This panel and reception will give Mutual Fund Dealers and their compliance, product, and sales people an overview of the rules, how they are being implemented in the IIROC channel, the use of risk ratings, and where alternative strategies might fit in client portfolios.
Online registration has closed, please contact Paul at paul@caasa.ca or 647-953-0737 for more information.
Date: Wednesday, September 11, 2019
Location: McMillan LLP, 181 Bay street, 44th floor, Toronto (map)
Time:
3:00pm Registration
3:15pm Panel on regulation, risk ratings, and where liquid alternatives fit in a portfolio and basic strategies
4:45pm Reception
5:30pm Session ends
Panelists:
Please click on the links below for more information on our panelists.

Jason Chertin is the Co-Chair, Investment Funds and Asset Management at McMillan LLP. A significant part of Jason’s practice encompasses working with investment fund managers, portfolio advisors and dealers in establishing, marketing and maintaining investment products, including privately offered domestic and offshore funds, publicly offered mutual funds and other exchange-traded funds. Jason also provides ongoing advice to Canadian and non-resident managers with respect to registration and compliance obligations, and assists clients with regulatory reviews and audits.

Prior to co-founding EHP Funds, Jason Mann was Managing Director, Co-Head of the Absolute Return/Arbitrage Group at Scotia Capital. The Absolute Return Group is responsible for developing and delivering cross-platform “alpha” generating ideas for the hedge fund community, and for the executing of trading for these clients. Jason also managed Scotia’s merger-arbitrage, event-driven and quantitative proprietary trading strategies, and had responsibility for trading and overseeing a proprietary trading book – a group that generated profits in each year of operation. Prior to this role, Jason was Head of Agency Trading at Scotia overseeing eighteen trading professionals covering fundamental and hedge fund clients. Jason holds an Honours Bachelor degree in Business Administration from Wilfrid Laurier University and is a CFA® charterholder.
Craig encourages his clients to think differently about investing in order to ensure a positive impact in his clients’ financial circumstances. He works beyond traditional portfolio management in the equity and bond markets alone to include conservative and predictable alternative assets, offering more effective diversification and a benchmark that offers protection and peace of mind regardless of market conditions. Craig is a frequent commentator on alternative asset allocations for various media outlets, and a panelist and speaker at industry events.

James co-founded CAASA in response to industry support for a Canadian alternatives association to serve all aspects including: hedge / alternative strategies; private lending; private real estate; private equity; plus emerging areas where Canada is a leader such as digital assets / blockchain and robo-advisors.
Prior to CAASA, James was the Chief Operating Officer of AIMA Canada where his team of three worked with 12 committees to produce 50-60 events per annum across Canada, organize 100+ committee meetings, and increase member numbers over his 7-year tenure from 66 to 164 corporate entities.
James also has experience in research and writing for the CAIA Association as well as serving on CAIA’s Exam Council and as a grader for the Level II portion of the exam. He also had roles in institutional sales and FoHF structuring in Seoul, South Korea, as a Product Manager at ICICI Wealth Management, and an Investment Advisor at RBC Dominion Securities. He graduated from Simon Fraser University with a BBA (Finance).
Registration:
Online registration has closed, please contact Paul at paul@caasa.ca or 647-953-0737 for more information.
Event Sponsor:

Venue Sponsor:
