A world leader in law school lifelong learning
Contact Us

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, MFDA, FSRA/DICO, FSCO, CLHIA, and CCUA.

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, industry associations and leaders
  • 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 industry forecasts
    • Credit unions
    • Banking
    • Securities and investment
    • Insurance
    • Data and privacy
    • Consumer protection
  • Fundamental developments in operations & legal risk management
    • Market conduct and client relationship management
    • Current and emerging technology – includes FinTech, RegTech, InsureTech
    • Behavioural ethics and integrity culture
    • Regulatory change management
    • Global developments impacting Canadian financial institutions
  • Interactive Regulatory and Industry Association Roundtables: Looking Ahead & Managing  Waves of Change

Faculty

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.

Faculty Members

  • Chantal Bernier, Counsel, Dentons Canada LLP
  • Lyne Duhaime, President Quebec Affairs and SVP, Market Conduct Policy & Regulation, Canadian Life & Health Insurance Association (CLHIA)
  • Teresa Frick, Director of Supervision, Supervision and Promotion Branch, Financial Consumer Agency of Canada (FCAC)
  • Marsha Gerhart, VP Member Regulation Policy, Investment Industry Regulatory Organization of Canada (IIROC)
  • Michael Hatch, Associate Vice President, Financial Sector Policy, Canadian Credit Union Association (CCUA)
  • Christopher Jepson, Senior Legal Counsel, Compliance & Registrant Regulation, Ontario Securities Commission (OSC), a Member of Canadian Securities Administrators (CSA)
  • Sylvia Kingsmill, Partner, National Leader, Digital Privacy and Compliance, Forensic Services, KPMG Canada
  • Anatol Monid, Executive Director, Licensing and Market Conduct Division, Financial Services Commission of Ontario (FSCO)
  • Suzanne Morin, VP & Associate General Counsel, Québec & Enterprise Chief Privacy Officer, Sun Life Financial
  • Angie Radiskovic, Managing Director, Culture & Conduct Risk Division, Office of the Superintendent of Financial Institutions (OSFI)
  • 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)
  • Parna Sabet-Stephenson, Gowling WLG
  • Stacey Shein, Senior Legal Counsel and Policy Counsel, Mutual Fund Dealers Association of Canada (MFDA)
  • Grant Spears, Chief Compliance Officer, Teachers Life
  • Alena Thouin, Corporate Secretary & Deputy General Counsel, Financial Services Regulatory Authority of Ontario (FSRA)
  • Amy ter Haar, Founder, Global Blockchain Consultants

Agenda

Group Discounts and Financial Assistance

For boardroom and multi-purchase rates, please email us.
OsgoodePD offers group rates and financial assistance for both on-site and webcast formats.

Delivery

After your purchase is complete, the course will appear in the Order History of your OsgoodePD account with a link to "Take Online Course". Once you click "Take Online Course" you will be forwarded to the Moodle page with the materials link. The program video link with be unlocked on the day of the program. You will have access to the video for 90 days.

Program Changes

We will make every effort to present the 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, Substitutions 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 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.

FAQs

Have a question? Read our FAQs.

Technical Support

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

Date Recorded
April 25, 2019

Program Details

Date & Time

September 19, 2019 
8:30 a.m. - 4:00 p.m. EDT

Location

Web - Replay

Fee per Delegate

$795 + HST

Newly Licensed (2016-2019): $397.50 + HST

Register Now

Eligible CPD Credit Hours

Questions?

Who Should Attend

  • Compliance professionals and officers
  • Privacy professionals and officers
  • Risk professionals and officers
  • Operations risk managers
  • Banking and credit union professionals
  • Governance professionals
  • Ombuds professionals
  • Relationship managers and officers
  • Anti-Money Laundering professionals and officers (CAMLOs)
  • Internal auditors
  • Portfolio managers, fund managers, and securities dealers
  • Underwriters, 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

Back to top

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