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THE must-attend annual event with crucial updates and developments in Regulatory Compliance and Legal Risk Management for Financial Institutions featuring major regulators and leading industry experts.


Are you on top of the rapidly evolving regulatory landscape?

Financial institutions – banks/credit unions, 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. As a compliance professional, you need to stay ahead of the curve to effectively drive the organization’s compliance efforts to the next level.

Developed for industry leaders and professionals by industry experts, this annual symposium 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.

Each topic will address:

  • The current and future focus of the regulators
  • Tips to prepare your organization to adapt to the most pressing changes and developments
  • How to avoid common traps and pitfalls
  • Why you need to drive your organization’s compliance efforts to the next level
  • What does the future hold?

Specific topics include:

  • Crucial regulatory updates and forecasts
    • OSFI
    • Banking and credit unions
    • Securities and investment
    • Insurance
    • Privacy
    • Consumer protection
  • Fundamental developments in operations & legal risk management
    • Market conduct and client relationship management
    • Current and emerging technology – includes Reg Tech, AI, RPA
    • Anti-money laundering & anti-terrorist financing
    • Regulatory change management
    • Global developments impacting Canadian financial institutions
  • Interactive Regulator Roundtable: Looking Ahead & Managing Change

PLUS! You will have the opportunity to attend an exclusive networking event. Time and location to be announced.


Program Chairs

  • J-P Bernier, Retired Executive from Canada’s Financial Industry with International Exposure
  • Joann Sochor, AVP, Corporate Compliance, Sun Life Financial

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.
  • Chantal Bernier, Counsel, Dentons Canada LLP
  • Matt Brady, Managing Director, Compliance, Mutual Fund Dealers Association of Canada (MFDA)
  • Lyne Duhaime, President Quebec Affairs and SVP, Market Conduct Policy & Regulation, Canadian Life & Health Insurance Association (CLHIA)
  • Marsha Gerhart, VP Member Regulation Policy, Investment Industry Regulatory Organization of Canada (IIROC)
  • Neville Henderson, Assistant Superintendent, Insurance Supervision Sector, Office of the Superintendent for Financial Institutions (OSFI)
  • Sylvia Kingsmill, Partner, National Leader, Digital Privacy and Compliance, Forensic Services, KPMG Canada
  • Christopher Jepson, Senior Legal Counsel, Compliance & Registrant Regulation, Ontario Securities Commission (OSC), a Member of Canadian Securities Administrators (CSA)
  • Suzanne Morin, VP & Associate General Counsel, Québec & Enterprise Chief Privacy Officer, Sun Life Financial
  • Brenda O’Connor, Vice President, Governance & Strategy, General Counsel & Corporate Secretary, Canadian Credit Union Association (CCUA)
  • Julien Reid, Senior Director, Financial Institutions Oversight, Resolution and Deposit Insurance, Autorité des marchés financiers (AMF), former Chair, Working Group, Canadian Council of Insurance Regulators (CCIR), and former Chair, Market Conduct Committee, International Association of Insurance Supervisors (IAIS)
  • Geoff Ritchie, General Counsel & Corporate Secretary, Mawer Investment Management Inc.
  • Carolyn Rogers, Assistant Superintendent, Regulation Sector, Office of the Superintendent of Financial Institutions (OSFI)
  • Parna Sabet-Stephenson, Gowling WLG
  • Stacey Shein, Senior Legal Counsel and Policy Counsel, Mutual Fund Dealers Association of Canada (MFDA)
  • Lucie Tedesco, Commissioner, Financial Consumer Agency of Canada (FCAC)
  • Amy ter Haar, Founder, Global Blockchain Consultants



Fees include attendance, program materials, lunch and break refreshments.

Group Discounts

OsgoodePD offers group rates for both on site and webcast formats. Please note these are only available when registering for members of the same organization, at the same time, and payment is made with one invoice.

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.

Cancellations and Substitutions

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 14 days prior to the program date. If a cancellation request is made with less than 14 days notice, a $75 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.


Have a question? 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

April 25, 2019
8:30 a.m. - 5:00 p.m. EDT

Online Replay
June 5, 2019 
Register Now 


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

Fee per Delegate

$795 plus HST

Register Now

Printable Registration Form

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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Here’s what 2018 participants at our regulatory compliance programming had to say:

“Great to get information on the new technology implications (crypto and social media). Real-life examples were very helpful.”

Helen D.K Friedman, Partner-Risk Management, Miller Thomson LLP

“Very informative. All lectures [were] well prepared by clearly competent instructors who were accessible. I connected with two on LinkedIn. Good location. Comfortable room. Helpful staff at all levels.”

Sheldon Liberman, Portfolio Manager & COO, Symetryx Capital Management

“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