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Canadian financial institutions, including banks, insurance companies and securities firms, face an increasingly complex regulatory web. Regulators in Canada and globally are putting increased pressure on financial institutions to assess, monitor and mitigate regulatory and operational risks. In addition to staying compliant, today’s financial institutions need to keep up with new regulations, deal with new issues - including those created by social media and emerging technologies -  and manage the human resources and technological requirements to get the job done. The speed of change is rapid and the demands are increasing. You need to be ready.

This intensive OsgoodePD certificate program was developed by a select group of highly experienced industry leaders. It was designed to provide a comprehensive and in-depth understanding of compliance requirements and strategies for meeting these requirements. The five-day program covers the intersection of compliance and enterprise risk management, as well as best practices for managing both risk and compliance.

You will come away from this valuable program armed with the most up-to-date knowledge, strategies and tactics you need to develop, implement or re-energize a state of the art compliance program.

This program will cover:

  • An introduction to the fundamentals of compliance
  • How to identify, mitigate and control risks effectively
  • Essential components of an effective compliance program
  • Overview of the federal and supervisory authorities, their objectives, powers and responsibilities
  • Impact of international standard setting organizations
  • How major regulators regulate and supervise
  • The correlation between governance, risk management and compliance (GRC)
  • Being an effective partner and energizing your organization
  • Managing a regulatory examination/investigation
  • Effectively implementing a code of business conduct and ethics
  • Best practices for crisis management and response
  • Strategies for managing high risk issues
  • Emerging challenges in compliance and what you need to do to prepare

Past Faculty includes:

Chairs

  • J-P Bernier, Former Special Advisor to the PresidentRisk Management, Canadian Life and Health Insurance Association
  • Lisa Bonato, Manager, Portfolio Manager Team, Compliance and Registrant Regulation, Ontario Securities Commission

Advisors

  • Maureen Bell, VP, Compliance, CIBC
  • Scott Driscoll, VP and Chief Compliance and Ethics Officer, Export Development Canada
  • Jasmin Jabri, VP & Chief Compliance Officer, Sentry Investments
  • Geoffrey Ritchie, General Counsel & Chief Compliance Officer, ZenBanx
  • Joann Sochor, AVP, Corporate Compliance, Sun Life Financial
  • Jane Stubbington, VP, Enterprise Risk Governance, TD Bank Group
  • Lisa Abe-Oldenburg, Associate Counsel, Miller Thomson
  • Darin Ahing, Senior Counsel, Office of the General Counsel, Hewlett-Packard Company
  • Kent Andrews, Senior VP, Regulatory Risk, TD Bank Group
  • Claude Baksh, Chief Compliance Officer, Chief Risk Officer & Chief AML Officer Computershare
  • Peter Bean, VP and Senior Counsel, AMEX Bank of Canada
  • Maureen Bell, VP, Compliance, CIBC
  • J-P Bernier, Former Special Advisor to the President, Risk Management, Canadian Life and Health Insurance Association
  • Lisa Bonato, Manager, Portfolio Manager Team, Compliance and Registrant Regulation, Ontario Securities Commission
  • Alex Cameron, Fasken Martineau DuMoulin LLP
  • Douglas Carrothers, Former General Counsel, iA Financial Group
  • Denise Carson, Director, Legal, Corporate & Compliance Group, BMO Financial Group
  • Georges Dessaulles, Former Chairman and Director, Canadian Centre for Ethics and Corporate Policy
  • Scott Driscoll, VP and Chief Compliance and Ethics Officer, Export Development Canada
  • Sandra Dunn, Chief, Financial Institutions Division, Finance Canada
  • Sara Gelgor, VP, Enterprise Programs & Chief Privacy Officer, Scotiabank
  • Rhonda Goldberg, VP Regulatory Affairs, IGM Financial
  • Brigitte Goulard, Deputy Commissioner, Financial Consumer Agency of Canada
  • Debra Foubert, Director, Compliance and Registrant Regulation, Ontario Securities Commission
  • Kelley Hoffer, VP, Wholesale Compliance, TD Securities (Canada)
  • John O’Hoski, AVP, Chief Compliance Officer, ivari
  • Carolyn Ibele, Manager, Compliance – AMLC Division, OSFI
  • Jasmin Jabri, VP & Chief Compliance Officer, Sentry Investments
  • John Jason, Norton Rose Fulbright LLP
  • Christopher Jepson, Senior Legal Counsel, Compliance and Registrant Regulation, Ontario Securities Commission
  • Liane Kim, VP, Enterprise Risk Management, D+H
  • Victoria Kwan, Chief Compliance Officer, Sun Life Global Investments (Canada) Inc.
  • Dara Lambie, Blake, Cassels & Graydon LLP
  • Richard F. Lee, President, PENDRAGON Consulting Services
  • Murray Lund, Director, Trading Conduct Compliance, Investment Industry Regulatory Organization of Canada
  • Scott McEvoy, Borden Ladner Gervais LLP
  • Jill McCutcheon, Borden Ladner Gervais LLP
  • Anatol Monid, Executive Director, Licensing and Market Conduct Division, Financial Services Commission of Ontario
  • Jim Morris, Chief Operating Officer, 1832 Asset Management L.P.
  • Holly Nicholson, Executive Director and General Counsel, OmbudService for Life and Health Insurance
  • Robert Paddick, Deputy Ombudsman, Investments, Ombudsman for Banking Services and Investments
  • Paul Petrelli, Senior VP & Chief Compliance Officer, Sun Life Financial
  • Derek Ramm, Director, Anti-Money Laundering Programs, Ontario Lottery and Gaming Corporation
  • Waqas Rana, VP & Chief Compliance Officer, The Co-operators Group Limited
  • Geoffrey Ritchie, General Counsel & Chief Compliance Officer, ZenBanx
  • Nancy Russell, Senior VP and Chief Compliance Officer, Great-West Lifeco Inc.
  • David Sharpe, President and Chief Operating Officer, Bridging Finance Inc.
  • Jacqueline D. Shinfield, Blake, Cassels & Graydon LLP
  • Joann Sochor, AVP, Corporate Compliance, Sun Life Financial
  • Robin Sooklal, Senior Manager, Privacy, Scotiabank
  • Penny Steckly, Director, Client Relations, Manulife Financial
  • Jane Stubbington, VP, Enterprise Risk Governance, TD Bank Group
  • Felicia Tedesco, Manager, Compliance and Registrant Regulation, Ontario Securities Commission
  • Lucie Tedesco, Commissioner, Financial Consumer Agency of Canada and Vice Chair, International Financial Consumer Protection Organisation
  • Scott Williams, Hicks Morley Hamilton Stewart Storie LLP

Fees

Fees include attendance, program materials, continental breakfast, lunch and refreshments for each of the 5 days of the program. The price does not include accommodations. Please inquire about group discounts and financial assistance. Fees paid by individuals are eligible for a tuition tax credit. Dress is business casual.

Program Changes

We will make every effort to present the certificate program as advertised, but it may be necessary to change the dates, location, speakers or content with little or no notice. In the event of program cancellation, York University and Osgoode Hall Law School’s liability is limited to reimbursement of paid fees.

Certificate of Program Completion

You will receive a certificate upon completion of The Osgoode Certificate in CERTIFICATE NAME. Participants must attend all program modules and successfully complete the take-home assignment to receive a certificate.

Substitutions, Cancellations and Refunds

Substitution of registrants is permitted at any time. If you are unable to find a substitute, a full refund is available if a cancellation request is received in writing 21 days prior to the program date. If a cancellation request is made with less than 21 days notice, a $150 administration fee will apply. No other refund is available.

Technical Support

In the event you experience technical difficulties, please contact opdsupport@osgoode.yorku.ca for assistance.

Program Lawyer

If you have any questions or would like more information please contact:
Heather Gore Liddell
hgoreliddell@osgoode.yorku.ca

Program Details

Date & Time

January 31, February 17, March 7 & 29 and April 21, 2017
(5 modules)

Location

Osgoode Professional Development Centre,
1 Dundas St. W., 26th Floor Toronto, ON

Fee per Delegate

$4,395 plus HST

Register Now

Eligible CPD Credit Hours

Questions?

Who Should Attend

  • Compliance officers and compliance professionals at financial institutions
  • Privacy officers
  • Chief Risk Officers
  • Operations and risk managers
  • In-house counsel at financial institutions
  • Internal auditors
  • Lawyers in private practice who advise financial institutions
  • Portfolio and fund managers

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