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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.

Get the tools you need to identify, mitigate and control risks and to build a good compliance program within a Canadian financial institution, including expert guidance on compliance policies and procedures.

The Fundamentals of Regulatory Compliance and Legal Risk Management for Financial Institutions is a unique, stand-alone Compliance Fundamentals program, which also serves as Module 1 of the Osgoode Certificate in Regulatory Compliance and Legal Risk Management for Financial Institutions, an intensive 5-module Certificate program developed by a select group of leading industry and legal experts. In this information-packed Compliance Fundamentals program, you’ll gain an understanding of the key compliance and risk management issues facing financial institutions in Canada as well as the essential components of a successful compliance program, how to categorize and control risk, and real-world best practices and strategies to help shield your organization from costly and damaging violations.


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

  • Jean-Pierre Bernier, Former Special Advisor to the President, Risk Management, Canadian Life and Health Insurance Association
  • Jasmin Jabri, Head of Compliance, Invesco Canada
  • Liane Kim, Risk Management Executive
  • Danielle Lin, Vice-President, Canadian Banking & Consumer Legislation Compliance, TD Bank Group
  • Katherine Macpherson, National Leader, Operational Risk
  • Natalie Ochrym, Compliance Professional
  • Waqas Rana, Vice President and Chief Compliance Officer, The Co-operators Group Limited
  • Geoffrey Ritchie, General Counsel & Corporate Secretary, Mawer Investment Management Inc
  • Joann Sochor, AVP, Corporate Compliance, Sun Life Financial


Group Discounts and Financial Assistance

Please note that the group discount is only available when paying for members of the same organization, at the same time, and payment is made with one invoice.  For financial assistance, please email financialaid-opd@osgoode.yorku.ca

Webcast Fee per Delegate

2-3 delegates: 25% off program fee
4-10 delegates: 30% off program fee
11+ delegates: 35% off program fee
Boardroom rates available.


The video stream will be sent to you via email as soon as payment is successfully processed.


All sales are final. Please make all enquiries related to program content and CPD/MCLE credit hours prior to purchase.


Have a question? Read our FAQs.

Technical Support

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

Program Details

Delivery Method

Web - On Demand

Date Recorded
January 25, 2018
Fee per Delegate

$895 + HST

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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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