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Canadian financial institutions − including banks, insurance companies and securities/investment firms − face an increasingly complex regulatory web. Regulators in Canada and globally are imposing 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.

This intensive OsgoodePD Certificate program was developed by a select group of industry experts and is designed to provide you with a comprehensive and in-depth understanding of compliance requirements and strategies to meet them. This five-day course covers the intersection of compliance and enterprise risk management, and provides you with best practices to effectively manage both risk and compliance as part of your organization’s essential line of defence.
You will emerge 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 within your organization.

This program will cover:

  • Fundamentals of regulatory compliance for financial institutions
  • How to effectively identify, mitigate and control risks
  • Essential components of an effective compliance program
  • Federal and supervisory authorities, their objectives, powers and responsibilities
  • Impact of international standard setting organizations
  • How major regulators regulate and supervise
  • Correlations between governance, risk management and compliance (GRC)
  • How to become an effective partner and energize your organization
  • Managing a regulatory examination, investigation and incident
  • Effectively implementing a code of business conduct and ethics
  • Best practices for crisis management and response
  • Strategies for managing high risk issues
  • How to manage social media and industry disruptors like data analytics, bitcoin, blockchain & fintech and other unregulated financial services players
  • Emerging challenges in compliance and what you need to do to prepare

Faculty

Program Directors

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

Program Advisory Board

  • Jasmin Jabri, Head of Compliance, Invesco Canada
  • John Lewsen, Head of Insurance Compliance, Legal, Corporate & Compliance Group, BMO Financial Group, Chief Compliance Officer, BMO Life Assurance Company, BMO Life Insurance Company, BMO Life Assurance & Insurance Company
  • Katherine Macpherson, National Leader, Operational Risk: Financial Services Advisory, Ernst & Young LLP

2019 Program Faculty

  • Dan Adamson, DDIQ President & Global Head, Cognitive Computing, Exiger
  • Kent Andrews, Senior Vice President, Regulatory Risk, TD Bank Group
  • Claude Baksh, Chief Compliance Officer, Chief Risk Officer & Chief AML Officer, Computershare
  • J-P Bernier, Retired Executive from Canada’s Financial Industry with International Exposure
  • Sarah Bradley, Ombudsman and Chief Executive Officer, Ombudsman for Banking Services and Investments (OBSI)
  • Barbara Breau, FIP, CIPM, CIPP/C, CCP, AIRC, AVP, Enterprise Compliance, Legal, Compliance & SIU Department, Foresters Financial
  • Denise Carson, CAMS, CPA, CMA, Chief Compliance Officer, BMO InvestorLine Inc., Wealth Management Compliance, Legal, Corporate & Compliance Group, BMO Financial Group
  • Paola Cifelli, Associate General Counsel, Enterprise Regulatory Office, Legal, Corporate & Compliance Group, BMO Financial Group
  • Jill Clark, Senior Director, Compliance, CIBC World Markets Inc.
  • Julie Clarke, General Counsel, Portland Investment Counsel
  • Rebecca Cowdery, Borden Ladner Gervais LLP
  • Patrick Déry, Superintendent of Solvency, Autorité des marchés financiers (AMF), and Chair, Canadian Council of Insurance Regulators (CCIR)
  • Pat Forgione, McMillan LLP
  • Sara Gelgor, LLB, LLM, MBA, ICD.D, Head of Regulatory Compliance, Retail Banking & Wealth Management, HSBC Bank Canada
  • Marsha Gerhart, VP Member Regulation Policy, Investment Industry Regulatory Organization of Canada (IIROC)
  • David Goodis, Assistant Commissioner (Policy & Corporate Services), Office of the Information & Privacy Commissioner of Ontario (IPC)
  • Jocelyn Hung, Manager, Compliance, Office of the Superintendent of Financial Institutions (OSFI)
  • Fabio Iannicca, SVP, Operations, CI Investments
  • Carolyn Ibele, Director, Compliance, AML & Compliance Division, Office of the Superintendent of Financial Institutions (OSFI)
  • Jasmin Jabri, Head of Compliance, Invesco Canada
  • John Jason, Cassels Brock & Blackwell LLP
  • Kyle Kemper, ED, or Amber Scott, Head of Regulatory Committee, Blockchain Association of Canada (BAC)
  • Abubakar Khan, Director, Business Advisory Directorate, Office of the Privacy Commissioner of Canada (OPC)
  • Liane Kim, Risk Management Executive
  • Jessica Leung, Vice President, Legal & Compliance, BlackRock Asset Management Canada Limited
  • John Lewsen, Head of Insurance Compliance, Legal, Corporate & Compliance Group, BMO Financial Group, Chief Compliance Officer, BMO Life Assurance Company & BMO Life Insurance Company
  • Danielle Lin, Vice President, Canadian Banking & Consumer Legislation Compliance, TD Bank Group
  • Katherine Macpherson, National Leader, Operational Risk: Financial Services Advisory, Ernst & Young LLP
  • Robert McDowell, Fasken Martineau DuMoulin LLP
  • Jay McMahan, Partner, Deloitte LLP
  • Dan Michaluk, Hicks Morley LLP
  • Anatol Monid, Executive Director, Licensing and Market Conduct Division, Financial Services Commission of Ontario (FSCO)
  • Andrew Mushore, Chief Compliance Officer, Bridging Finance Inc.
  • Natalie Ochrym, Advisor, The AML Shop
  • Bruce O’Toole, Member, OSC Securities Proceeding Advisory Committee, and Partner, Crawley MacKewn Brush LLP
  • Philippe Pellerin, Manager, Supervision and Enforcement Division, Financial Consumer Agency of Canada (FCAC)
  • Waqas Rana, Vice President and Chief Compliance Officer, Corporate Compliance, The Co-operators Group Limited
  • Geoff Ritchie, General Counsel & Corporate Secretary, Mawer Investment Management Inc.
  • Kerry Robbins, Vice President & Ombudsman, TD Bank Group
  • Jacqueline (Jackie) Sanz, CPA, CA, VP, Corporate Compliance & Oversight, AGF Investments
  • Amber Scott, Founder & Chief AML Ninja, Outliers Solutions Inc., and Director, Head of Regulatory Committee, Blockchain Association of Canada (BAC)
  • David Shuen, Chief Compliance Officer & Chief AML Officer, China Construction Bank Toronto Branch
  • Steven Slavens, Torys LLP
  • Joann Sochor, AVP, Corporate Compliance, Sun Life Financial
  • Grant Spears, Chief Compliance Officer, Teachers Life
  • Felicia Tedesco, Deputy Director, Compliance and Registrant Regulation, Ontario Securities Commission (OSC)
  • Neal Weston, Director, Global Compliance & Trade Surveillance, Scotiabank
  • Karen Woodman, President, Sun Life Financial Investment Services Inc.
  • David Wright, Senior Counsel, Business Conduct Compliance, Investment Industry Regulatory Organization of Canada (IIROC)

Agenda

Fees

Fees include attendance, program materials, lunch and break refreshments for each of the 5 days of the certificate program or for the 1 day of the Module One 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 certificate program and obtain an Osgoode Certificate in Regulatory Compliance and Legal Risk Management for Financial Institutions, you must attend all five 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 24*, February 12, March 5 & 26 and April 16, 2019
(5 modules)
9:00 a.m. – 5:00 p.m. EST/EDT
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 One: Fundamentals of Compliance
January 24, 2019
9:00 a.m. – 5:00 p.m. EST

$895 plus HST (includes option for upgrade to Certificate)
In Person or Webcast

Register for Certificate (All Modules)

Printable Registration Form

Eligible CPD Credit Hours

Questions?

Who Should Attend

  • Compliance officers and compliance professionals at financial institutions
  • Privacy officers
  • Risk Officers
  • Operations and risk managers
  • In-house counsel at financial institutions
  • Internal auditors
  • Lawyers in private practice who advise financial institutions
  • Portfolio managers, fund managers and securities dealers
  • Compliance consultants
  • Accountants
  • Anyone interested in a career or a role in compliance

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“Great presenters, very knowledgeable and easy to understand [and] great discussions amongst the panels. A great deal of tips and information [to] use when setting up a program. Excellent agenda and well put together. Online experience was great.”
– Cindy Bauder, Manager, Market Conduct Compliance, Manulife

“The quality of the whole program was excellent. It covered a broad variety of relevant and up-to-date subjects. I was really impressed by the instructors’ expertise and wealth of experience and [the] real-life experiences that enriched the effectiveness of the training. Thank you very much!”
– Patricia Pacanchique, Director, Pension Policy – OMERS Administration Corporation


Module One: Fundamentals of Compliance

“Excellent. As a new member of the compliance world, this module provided me with valuable and helpful information to assist in better understanding compliance which I will take with me to further my career.”
– Paolina Corsaro, Compliance Coordinator, Amex Bank of Canada

“As a non-compliance, non-risk executive looking to learn more about the subject matter, the course has been wonderful. The presenters are so proficient in their area of expertise that they make complicated issue seem simple.”
– David Campbell, Caledon Trust

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.