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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

Faculty

Program Directors

  • Geoff Ritchie, General Counsel, Mawer Investment Management Inc.
  • Joann Sochor, AVP, Corporate Compliance, Sun Life Financial

Advisory Board

  • Maureen Bell, Compliance Professional
  • Lisa Bonato, Compliance and Registrant Regulation, Ontario Securities Commission
  • Jasmin Jabri, Compliance Executive
  • John Lewsen, Head of Insurance Compliance, Legal, Corporate & Compliance Group, BMO Financial Group, Chief Compliance Officer, BMO Life Assurance Company

  • Dan Adamson, President, DDIQ and Global Head of Cognitive Computing, Exiger Analytics
  • Kent Andrews, Senior Vice President – Regulatory Risk and Risk Capital at TD
  • Claude Baksh, Chief Compliance Officer, Chief Risk Officer & Chief AML Officer, Computershare Canada
  • Jean-Pierre Bernier, Former Special Advisor to the President, Risk Management, Canadian Life and Health Insurance Association
  • Sara Bradley, Ombudsman & Chief Executive Officer, Ombudsman for Banking Services and Investments
  • Paola Cifelli, Associate General Counsel, Legal, Corporate & Compliance Group, BMO Financial Group
  • Jill Clark, Senior Director, Capital Markets Compliance, CIBC
  • Julie Clarke, General Counsel, Portland Investment Counsel Inc.
  • Sara Gelgor, Compliance Professional
  • Caitlin Gossage, Chief Compliance Officer at BMO Global Asset Management (Canada)
  • Carolyn Ibele, Director, Compliance (AML & Compliance Division) Office of the Superintendent of Financial Institutions Canada (OSFI)
  • John Jason, Counsel, Cassels Brock LLP
  • Sandra Kegie, President, Kegie Consulting Corp.
  • Liane Kim, Risk Management Executive
  • Victoria Kwan, AVP, Compliance and Chief Compliance Officer, Sun Life Global Investments
  • Darrell Leadbetter, Senior Director at Office of the Superintendent of Financial Institutions of Canada
  • Katherine Macpherson, National Leader, Operational Risk
  • Norah McCarthy, VP, Ombudsman & Chief Privacy Officer at CIBC
  • Jill McCutcheon, Partner, Torys LLP
  • Robert McDowell, Partner, Fasken Martineau DuMoulin LLP
  • Melissa McKewn, Partner, Crawley MacKewn Brush LLP
  • Dan Michaluk, Partner, Hicks Morley LLP
  • Anatol Monid, Executive Director, Licensing and Market Conduct Division at the Financial Services Commission of Ontario (FSCO)
  • Andrew Mushore, Chief Compliance Officer, Bridging Finance Inc.
  • Natalie Ochrym, Compliance Professional
  • Philippe Pellerin, Compliance Manager, Supervision and Enforcement at Financial Consumer Agency of Canada
  • Waqas Rana, Vice President and Chief Compliance Officer, The Co-operators Group Limited
  • Martin Searle, Global Head, Social Media Compliance and Senior Manager, Privacy, Canada at TD Bank Group
  • Jacqueline Shinfeld, Parnter, Blakes, Cassels & Graydon LLP
  • David Shuen, Financial Services Compliance Executive
  • Steve Slavens, Senior Associate, Torys LLP
  • Grant Spears, AVP, Corporate Compliance at Sun Life Financial
  • Felicia Tedesco, Manager, Compliance and Registrant Regulation, Ontario Securities Commission
  • Rani Turna, Senior Vice President and Chief Compliance Officer, CIBC
  • Neal Weston, Director, Trade Surveillance, Compliance, Scotia Capital Inc. Scotiabank Global Banking and Markets
  • David Wright, Senior Counsel, Business Conduct Compliance, IIROC
  • Karen Woodman, CCO Sun Life Financial Investment Services Inc., AVP Individual Distribution Compliance

Agenda

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

In order to successfully complete the program and obtain an Osgoode Certificate in Regulatory Compliance and Legal Risk Management for Financial Institutions, you must attend all program modules and satisfactorily pass an online multiple-choice exam.

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.

FAQs

Have questions? Read our FAQs.

Program Details

Questions on program registration?
Please contact the Registration Team at osgoodepd@osgoode.yorku.ca

Questions on the program content?
Please contact the Program Lawyer:
Alexandra Karacsony at akaracsony@osgoode.yorku.ca

Program Details

Date & Time

January 25, February 13, March 1 & 27 and April 19, 2018
(5 modules)
9:00 a.m. – 5:00 p.m. EDT/EST
In Person or Webcast

Location

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

Fee per Delegate

All Modules
$4,495 plus HST

Module 1
$895 plus HST

Register Now

Printable Registration Form

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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Hotels & Parking

If you require accommodations in downtown Toronto, OsgoodePD has arranged Corporate Rates with several hotels within walking distance of our downtown conference centre.

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Looking for an innovative way to market your firm’s products or services?

Consider sponsoring an OsgoodePD Continuing Legal Education program or event.