The Osgoode Certificate in Regulatory Compliance and Legal Risk Management for Financial Institutions

Faculty Agenda

This intensive OsgoodePD Certificate program was developed by a select group of industry experts and is designed to provide you with a comprehensive and in-depth understanding of compliance requirements and strategies to meet them. This five-day course covers the intersection of compliance and enterprise risk management, and provides you with best practices to effectively manage both risk and compliance as part of your organization’s essential line of defence.
You will emerge from this valuable program armed with the most up-to-date knowledge, strategies and tactics you need to develop, implement or re-energize a state-of-the-art compliance program within your organization.

This program will cover:

• Fundamentals of regulatory compliance for financial institutions
• How to effectively identify, mitigate and control risks
• Essential components of an effective compliance program
• Federal and supervisory authorities, their objectives, powers and responsibilities
• Impact of international standard setting organizations
• How major regulators regulate and supervise
• Correlations between governance, risk management and compliance (GRC)
• How to become an effective partner and energize your organization
• Managing a regulatory examination, investigation and incident
• Effectively implementing a code of business conduct and ethics
• Best practices for crisis management and response
• Strategies for managing high risk issues
• How to manage social media and industry disruptors like data analytics, bitcoin, blockchain & fintech and other unregulated financial services players
• Emerging challenges in compliance and what you need to do to prepare

Faculty

Program Directors

• Geoff Ritchie, General Counsel & Corporate Secretary, Mawer Investment Management Inc.
• Joann Sochor, AVP, Corporate Compliance, Sun Life Financial

Program Advisory Board

• Maureen Bell, Compliance Professional (retired)
• Lisa Bonato, Lawyer & Compliance Professional
• 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, BMO Life Assurance & Insurance Company

2018 Program Faculty Included

• Dan Adamson, President, DDIQ and Global Head, Cognitive Computing, Exiger Analytics
• Bruce Anderson, Senior Supervisor, Office of the Superintendent of Financial Institutions (OFSI)
• Kent Andrews, Senior Vice President, Regulatory Risk, TD Bank Group
• Claude Baksh, Chief Compliance Officer, Chief Risk Officer & Chief AML Officer, Computershare Canada
• J-P Bernier, Former Special Advisor to the President, Risk Management, Canadian Life and Health Insurance Association
• Sarah Bradley, Ombudsman & Chief Executive Officer, Ombudsman for Banking Services and Investments
• Denise Carson, Chief Compliance Officer, BMO InvestorLine Inc.
• Paola Cifelli, Associate General Counsel, Legal, Corporate & Compliance Group, BMO Financial Group
• Sandy Cimoroni, SVP, North American Phone Channel & ATM, TD Bank
• Jill Clark, Senior Director, Capital Markets Compliance, CIBC World Markets
• Julie A. Clarke, General Counsel, Portland Investment Counsel Inc.
• Rebecca Cowdery, Borden Ladner Gervais LLP
• Mary Joyce Empensando, Chief Compliance Officer, Questrade, Inc. | Questrade Wealth Management Inc.
• Sara Gelgor, LLB, LLM, MBA, ICD.D, Head, Regulatory Compliance, Retail Banking and Wealth Management, HSBC Bank Canada
• Marsha Gerhart, VP Member Regulation Policy, Investment Industry Regulatory Organization of Canada (IIROC)
• Caitlin Gossage, Chief Compliance Officer, BMO Global Asset Management (Canada)
• Louise Hamel, Director Wealth Compliance & CCO Nesbitt Burns Inc., Legal, Corporate & Compliance Group, BMO Financial Group
• Carolyn Ibele, Director, Compliance, AML & Compliance Division Office of the Superintendent of Financial Institutions (OSFI)
• Jasmin Jabri, Head of Compliance, Invesco Canada
• John Jason, Cassels Brock & Blackwell LLP
• Sandra Kegie, Executive Director, Federation of Mutual Fund Dealers, Kegie Consulting Corp.
• Liane Kim, Risk Management Executive
• Elizabeth King, Deputy Director, Compliance and Registrant Regulation, Ontario Securities Commission
• Monica Kowal, VP, Compliance, Wealth Management, Wealth Compliance, TD Bank Group
• Victoria Kwan, AVP and Chief Compliance Officer, Sun Life Investment Management
• Darrell Leadbetter, Senior Director, Office of the Superintendent of Financial Institutions of Canada
• Jessica Leung, Vice President, Legal & Compliance, BlackRock Asset Management Canada Limited
• John Lewsen, Head of Insurance Compliance, Legal, Corporate & Compliance Group, BMO Financial Group, Chief Compliance Officer, BMO Life Assurance Company, BMO Life Insurance Company, BMO Life Assurance & Insurance Company
• Danielle Lin, Vice-President, Canadian Banking & Consumer Legislation, TD Bank Group
• Katherine Macpherson, National Leader, Operational Risk: Financial Services Advisory, Ernst & Young LLP
• Jill McCutcheon, Torys LLP
• Robert McDowell, Fasken Martineau DuMoulin LLP
• Dan Michaluk, Hicks Morley LLP
• Anatol Monid, Executive Director, Licensing and Market Conduct Division, Financial Services Commission of Ontario (FSCO)
• Andrew Mushore, Chief Compliance Officer, Bridging Finance Inc.
• Natalie Ochrym, Advisor, The AML Shop
• Bruce O’Toole, Member, OSC Securities Proceeding Advisory Committee, Crawley MacKewn Brush LLP
• Philippe Pellerin, Manager, Supervision and Enforcement Division, FCAC
• Waqas Rana, Vice President and Chief Compliance Officer, The Co-operators Group Limited
• Geoffrey Ritchie, General Counsel & Corporate Secretary, Mawer Investment Management Inc.
• Kerry L. Robbins, Vice President & Ombudsman, TD Bank Group
• David Shuen, Chief Compliance Officer and Chief AML Officer, China Construction Bank Toronto Branch
• Steven Slavens, Torys LLP
• Joann Sochor, AVP, Corporate Compliance, Sun Life Financial
• Grant Spears, Compliance Executive
• Felicia Tedesco, Deputy Director, Compliance and Registration, Ontario Securities Commission
• Karen Woodman, President, Sun Life Financial Investment Services Inc
• David Wright, Senior Counsel, Business Conduct Compliance, Investment Industry Regulatory Organization of Canada (IIROC)

Agenda

View 2018 Brochure PDF

Fees

Fees include attendance, program materials, continental breakfast, lunch and refreshments for each of the 5 days of the certificate program or for the 1 day of the Module One program. The price does not include accommodations. Please inquire about group discounts and financial assistance. Fees paid by individuals are eligible for a tuition tax credit. Dress is business casual.

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.

Certificate of Program Completion

In order to successfully complete the certificate program and obtain an Osgoode Certificate in Regulatory Compliance and Legal Risk Management for Financial Institutions, you must attend all five program modules and satisfactorily pass an online multiple-choice exam.

Substitutions, Cancellations 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 21 days prior to the program date. If a cancellation request is made with less than 21 days notice, a $150 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.

FAQs

Have questions? 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