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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



  • Lisa Bonato, Manager, Portfolio Manager Team, Compliance and Registrant Regulation, Ontario Securities Commission
  • Joann Sochor, AVP, Corporate Compliance, Sun Life Financial

Advisory Board

  • Maureen Bell, VP, Compliance, CIBC
  • Jasmin Jabri, VP & Chief Compliance Officer, Sentry Investments
  • Geoffrey Ritchie, General Counsel & Chief Compliance Officer, ZenBanx
  • David Shuen, VP & Chief Compliance Officer, Sun Life Financial Canada

Featured Speaker

  • J-P Bernier, Former Special Advisor to the President, Risk Management, Canadian Life and Health Insurance Association
  • Armando Alcaraz, Associate Director, Anti-Bribery/Anti-Corruption Compliance, RBC
  • Kent Andrews, Senior VP, Regulatory Risk, TD Bank Group
  • Claude Baksh, Chief Compliance Officer, Chief Risk Officer & Chief AML Officer Computershare
  • Sandra Blake, Vice-President, Business Conduct, Investment Industry Regulatory Organization of Canada (IIROC)
  • Barbara Breau, Assistant Vice-President, Enterprise Compliance, Foresters Financial
  • Alex Cameron, Fasken Martineau DuMoulin LLP
  • Denise Carson, Director, Legal, Corporate & Compliance Group, BMO Financial Group
  • Dana DiBartolo, Ombudsman, BMO Financial Group
  • Sara Gelgor, VP, Enterprise Programs & Chief Privacy Officer, Scotiabank
  • Sharon Giffen, Chief Risk Officer and Chief Compliance Offier, Foresters (Former); Chair, Finance and Audit Committee, Opera Atelier; Genworth Financial Mortgage Insurance Company (Independent Board Director)
  • Carolyn Ibele, Manager, Compliance – AMLC Division, OSFI
  • Sandra Kegie, Executive Director, Federation of Mutual Fund Dealers; President, Kegie Consulting Co.
  • Liane Kim, VP, Enterprise Risk Management, D+H
  • John Lewsen, Chief Compliance Officer, BMO Life Assurance Company
  • Robert McDowell, Fasken Martineau DuMoulin LLP
  • Katherine MacPherson, Assistant Vice-President, Corporate Operational Risk Management, Sun Life Financial
  • Norah McCarthy, VP, Ombudsman Chief Privacy Officer, CIBC
  • Ted Price, Deputy Superintendent of Supervision, OSFI (former); Kingsburg Governance
  • Derek Ramm, Director, Anti-Money Laundering Programs, Ontario Lottery and Gaming Corporation
  • Waqas Rana, VP & Chief Compliance Officer, The Co-operators Group Limited
  • Toufi Saliba, CEO, Privacy Shell Inc.
  • Jacqueline D. Shinfield, Blake, Cassels & Graydon LLP
  • 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
  • Frank Tsiribis, VP Technology and Operations Risk, BMO Financial Group
  • Neal Weston, Chief Compliance Officer, Bank of Tokyo Mitsubishi UFJ Canada
  • Karen Woodman, CCO Sun Life Financial Investment Services Inc.; AVP Individual Distribution Compliance



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.

Program Lawyer

If you have any questions or would like more information please contact:
Heather Gore Liddell

Program Details

Date & Time

January 31, February 17, March 7 & 29 and April 21, 2017
(5 modules)
9:00 a.m. – 5:00 p.m.


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

Fee per Delegate

All Modules
$4,395 plus HST

Module 1
$895 plus HST

Register Now for the Certificate

Eligible CPD Credit Hours


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.

Sponsor A Program

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

Consider sponsoring an OsgoodePD Continuing Legal Education program or event.