Ineffective Disclosures Controls and Procedures – A Minefield for TSX Issuers

Ineffective Disclosures Controls and Procedures – A Minefield for TSX Issuers

  • Session One (11am EST)
    November 29, 2018
    11:00 am - 12:00 pm
    - (10am Central | 9am Mountain | 8am Pacific)
  • Session Two (2pm EST)
    November 29, 2018
    2:00 pm - 3:00 pm
    - (1pm Central | 12pm Mountain | 11am Pacific)


  • All session times shown above are in Eastern Time Zone (all other time zones are shown in brackets)
  • Each Session is 1 hour long and are WEB BASED only

Learn about the practical difficulties and dangers that registrants face on managing the disclosure process including in the areas of recent regulator focus such as diversity, climate change, cybersecurity, marijuana, non-GAAP disclosures and disruptive technologies.

Target Audience:

Securities Litigation, Secondary Market Class Actions, Board Initiated Internal Governance Reviews, Anti-Corruption (FCPA and CFPOA) Programs, In-House Legal Counsel


  • Disclosure Controls & Procedures (DC&P) and Investor Confidence
    • SEC definition of DC&P
    • CSA definition of DC&P
  • Difference in focus on DC&P and Internal Controls over Financial Reporting (ICFR)
  • A “typical” Disclosure Policy and a DC&P “flow” diagram
  • Expanding Scope of Disclosures
    • Areas of Recent Focus
      • Diversity
      • Climate Change
      • Cybersecurity
      • Cannabis-related
    • On-the-Horizon
      • Non-GAAP and Other Financial Measures (NI 52-112)
    • Practical Challenges in Maintaining Effective Disclosure Controls & Procedures (DC&P)
      • Translating Policy into Executable Procedures
      • Disclosure Team Composition, Knowledge and Availability
      • Timeliness and Accuracy of Systems – Data Flow
      • Materiality Issues – Quantitative and Qualitative
      • Documentation and DC&P Meetings
      • Frameworks for Implementation of DC&P
      • Testing the Effectiveness of DC&P
      • Boilerplate Disclosures in MD&A
      • CEO and CFO involvement in DC&P
      • Board Involvement and Oversight
  • Q & A Session


  • 1 hour of expert presentation
  • Soft copy of slides in presentation
  • Continuing Professional Development certificate for your participation


Event Brochure:

Acrobat PDFDownload the PDF version of this event

Registration Details

This session is $145 CDN per person exclusive of applicable Canadian taxes.  Presentation materials will be provided 24 hours prior to each session. Course certificates will only be provided based on seminar attendance. Registration and payment can be done on-line. Cancellation Policy: A Registered Attendee can cancel their Registration with no less than 48 hours notice and receive 100% refund for all cancellations under taken formally via e-mail to . Payment details will need to sent along with the Cancellation request.