4th Essential One-Day Update in Regulatory Compliance and Legal Risk Management for Financial Institutions

Interact and learn from major regulators and industry leaders and stay on top of evolving expectations and industry best practices.

Developed for industry leaders and professionals, this annual OsgoodePD program provides a roadmap to successfully navigate current and anticipated regulatory and legal risk management developments. In one information-packed day, you will get expert insights, guidance, and proactive tips for managing key changes, obligations, and emerging issues.

Waves of Change: The Regulators’ Speak (9:10 a.m. ET)

Major regulators, industry associations and thought leaders will outline how the regulatory frameworks and related supervisions are shifting, and tips to prepare for upcoming changes. Each interactive, industry-focused session will focus on priorities pipelines, expectations, and coordination strategies.

• Banking:
  • Jaspal Matharu, Acting Director, Supervision, Financial Consumer Agency of Canada
• Insurance:
  • Erica Hiemstra, Head, Insurance Conduct, Market Conduct, Financial Services Regulatory Authority
  • Nathalie Sirois, Senior Director, Insurance Prudential Supervision, Autorité des marchés financiers, and Vice-Chair, Canadian Council for Insurance Regulators
• Securities/Investments
  • Raymond Chan, Senior Vice President, Investment Management, Ontario Securities Commission
  • Alexandra Williams, Senior Vice-President, Member Regulation and Corporate Strategy, Canadian Investment Regulatory Organization

Behavioural Science/Ethics Update (4:20 p.m. ET)

Regulatory compliance management has evolved into a broader and more strategic risk and oversight program involving ethics, decision-making and conduct. At its core, compliance seeks to influence behaviour toward greater effectiveness, drawing on lessons and insights from behavioural economics, and to drive the best company behaviour while also better serving customers.

• Meera Paleja, PhD, Program Head, Investor Research and Behavioural Insights, Ontario Securities Commission
• Michael Tracey, Director, Behavioural Science, Scotiabank