National Instrument 24-101 A perspective from a Sell-side Firm Kris Sanker Manager, Trade Settlements/Securities Lending BMO Nesbitt Burns March 13, 2007.

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Presentation transcript:

National Instrument A perspective from a Sell-side Firm Kris Sanker Manager, Trade Settlements/Securities Lending BMO Nesbitt Burns March 13, 2007

2 Impact of NI Four Key Aspects Mutual dependency Integrated approach Upgraded applications and processes Industry Best Practices and Standards

3 Mutual Dependency Dealers Institutional Clients Custodians Partners

4 Integrated Approach Front / Middle / Back Office Cooperation Client Relationship Issues Client Documentation

5 Process Improvement and Application Upgrades Desire for Improved Processing Cost Constraints / Conflicting Priorities Mandate to be more efficient Marketplace Awareness / Involvement

6 Industry Best Practices and Standards CCMA Best Practices Standard Data Elements

7 Issues and Challenges Compliance / Internal Reporting Systems Changes Documentation Gathering Client Relationship Issues Custodian Block Settlement

8 Next Steps Determine current status Engage your team Review internal processes Develop an action plan Use CCMA Internal Resources

National Instrument A perspective from a Sell-side Firm Kris Sanker Manager, Trade Settlements/Securities Lending BMO Nesbitt Burns March 13, 2007