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The must-attend event for the financial services sector - get unparalleled access to major regulators, industry associations and leaders, including: OSFI, FCAC, CCIR, AMF, IAIS, IIROC, OSC/CSA, and MFDA.

Are you on top of the rapidly evolving regulatory landscape?

Financial institutions – banks, insurance companies, and securities/investment firms – are facing increased demands within an increasingly complex regulatory web. At the same time, resources are becoming more limited, and increased globalization is pressuring faster responses. This has led to more intricate business needs and operational challenges. You need to stay ahead of the curve to effectively drive your organization’s compliance efforts to the next level.

Developed for industry leaders and professionals by industry experts, this annual update gives you the roadmap to successfully navigate the most crucial regulatory updates, legal risk management developments and current and emerging issues.

In one information-packed day, you will get expert insights, guidance, and tips on navigating the most critical updates and current and emerging issues and you will have the opportunity to connect with your colleagues and learn from major regulators and leading industry professionals.

The morning topics will focus on major regulators’ and industry associate updates and forecasts including:

  • The current and future focus of major regulators and industry leaders for:
    • Banking
    • Securities/investment firms
    • Insurance companies
  • Tips to prepare your organization to adapt to the most pressing regulatory changes and developments
  • What you need to do to drive your organization’s compliance efforts to the next level
  • What does the future hold?

Afternoon topics will focus on providing targeted practical guidance and insights for leaders to effectively manage key trends, developments and industry changes, including:

  • Data and privacy
  • Consumer protection
  • Behavioural ethics and integrity culture
  • Operational & legal risk management issues
  • Fair treatment of customers
  • Current and emerging technology – includes FinTech, RegTech, InsureTech
  • Global developments impacting Canadian financial institutions

PLUS! You will have the opportunity to join us for lunchtime networking with regulators, faculty and industry peers in the program.


Program Chairs

  • Chantal Bernier, Counsel, National Practice Leader, Privacy and Cybersecurity, Dentons Canada LLP
  • Joann Sochor, AVP, Corporate Compliance, Sun Life

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
  • Katherine Macpherson, National Leader, Operational Risk: Financial Services Advisory, Ernst & Young LLP
  • Geoff Ritchie, General Counsel & Corporate Secretary, Mawer Investment Management Inc.

Program Faculty

  • Paul Belanger, Blake, Cassels & Graydon LLP
  • Teresa Frick, Managing Director, Supervision and Promotion Branch, Financial Consumer Agency of Canada (FCAC)
  • Marsha Gerhart, VP Member Regulation Policy, Investment Industry Regulatory Organization of Canada (IIROC)
  • Jasmin Jabri, Head of Compliance, Invesco Canada
  • Christopher Jepson, Senior Legal Counsel, Compliance & Registrant Regulation, Ontario Securities Commission (OSC), a Member of Canadian Securities Administrators (CSA)
  • Julien Reid, Senior Director, Financial Institutions Oversight, Resolution and Deposit Insurance, Autorité des marchés financiers (AMF), former Working Group Chair, Canadian Council of Insurance Regulators (CCIR), and former Market Conduct Committee Chair, International Association of Insurance Supervisors (IAIS)
  • Stacey Shein, Senior Legal Counsel and Policy Counsel, Mutual Fund Dealers Association of Canada (MFDA)
  • Holly Shonaman, Chief Privacy Officer, RBC
  • Anie Stuart, Managing Director, Culture & Conduct Risk, Office of the Superintendent of Financial Institutions (OSFI)



Fees include attendance, program materials, lunch and break refreshments

Group Discounts for CLE Programs

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. Please inquire about financial assistance.

Program Changes

We will make every effort to present the program as advertised, but it may be necessary to change the date, 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.

Webcast Fee per Delegate

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

Cancellations and Substitutions

Substitution of registrants is permitted at any time. If you are unable to find a substitute a full refund (less $75 administration fee) is available if a cancellation request is received in writing 14 days prior to the program date. No other refund is available.


Have questions? Read our FAQs.

Program Details

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

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

September 22, 2020 
8:30 a.m. - 5:00 p.m. EDT

Online Replay 
November 3, 2020 
Register for Online Replay 


Online - Live, interactive

Fee per Delegate

$795 + HST

Newly Licensed (2017 - Present): $397.50 + HST

Register Now

Eligible CPD Credit Hours


Who Should Attend

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

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Accredited By


Here’s what 2019 participants had to say about our regulatory compliance for financial institutions programming:

“Great program and the overall experience was quite good in terms of content and insights.”

David Parkatti, CCRO, CWB Financial Group

“Very good overall [including] the Fair Treatment of Clients as an over-arching theme – just because we CAN do something, doesn’t mean we SHOULD. Also the Behavioural Impact discussion – we can use the predictable nature of people to encourage compliance [and] influence the timing of communications.”

Deborah Stiles, Sr Risk Management Analyst, Distribution Risk & Compliance

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.