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Canadian financial institutions, including banks, insurance companies and securities firms, face an increasingly complex regulatory web. Regulators are placing 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 & 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.

Faculty

Program Directors

  • Jasmin Jabri, Head of Compliance, Invesco Canada
  • Geoffrey Ritchie, General Counsel & Corporate Secretary, Mawer Investment Management Inc.
  • Joann Sochor, AVP, Corporate Compliance, Sun Life

Advisory Board

  • Paola Cifelli, Associate General Counsel, Enterprise Regulatory Office, Legal, Corporate & Compliance Group, BMO Financial Group
  • 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
  • Andrew Mushore, Chief Compliance Officer, Bridging Finance Inc.
  • Ilona Niemi, VP, Head of Compliance, Zurich Insurance Company Ltd. (Canadian Branch)

Program Faculty

  • Dan Adamson, CTO and Co-Founder, PointChain Technologies
  • Darcy Ammerman, McMillan LLP
  • Jean-Pierre (J-P) Bernier, Retired Executive from Canada’s Financial Industry with International Exposure
  • Stephanie Corvese, Senior Associate Digital Forensics and Cyber Security, Grant Thornton LLP
  • Toni Evans, CPA, CA, Managing Director, Regulatory & Policy Governance, TD Asset Management
  • Matin Fazelpour, Hicks Morley LLP
  • Jasmin Jabri, Head of Compliance, Invesco Canada
  • Liane Kim, CFA, Chief Risk and Audit Executive, Ontario Power Generation
  • Danielle Lin, Vice-President, Canadian Banking & Consumer Legislation Compliance, TD Bank Group
  • Katherine Macpherson, National Leader, Operational Risk: Financial Services Advisory, Ernst & Young LLP
  • Natalie Ochrym, Advisor, The AML Shop
  • Waqas Rana, Compliance Executive
  • Geoffrey Ritchie, General Counsel & Corporate Secretary, Mawer Investment Management Inc.
  • Amber D. Scott, Founder, CEO & Chief AML Ninja, Outliers Solutions Inc.
  • Steven Slavens, Torys LLP
  • Joann Sochor, AVP, Corporate Compliance, Sun Life

Agenda

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.

Delivery

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

Refunds

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

FAQs

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

Date & Time

July 16, 2020

Location

Web - Replay

Fee per Delegate

$895 + HST

Newly Licensed (2017-Present): $447.50 + HST

Register Now

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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