Pre-Conference Workshops

WORKSHOP A | Regulatory Compliance Essentials for Financial Institutions

Nov 27, 2017 9:00am – 12:00pm

Speakers

Diana Lowe
Partner, Risk Consulting, Financial Risk Management
KPMG Canada

David Pelkola
Director, Regulatory Risk & Compliance Management
KPMG Canada

Gabriella Evinich
Senior Manager, Financial Risk Management
KPMG Canada

WORKSHOP B | How to Foster an Effective Compliance Culture Within Your Organization

Nov 27, 2017 1:00pm – 4:00pm

Speakers

Camille Glover
Vice-President, Compliance & Ethics
OMERS

Day 1 - Tuesday, November 28, 2017

8:00
Registration Opens and Refreshments are Served
8:50
Opening Remarks from the Co-Chairs
9:00
Financial Services Flash from the Office of the Superintendent of Financial Institutions (OSFI)
10:00
Networking Refreshment Break
Sponsored by:
KPMG
10:15
Financial Intelligence from the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)
11:15
Keynote: Regulation & The Economy
12:00
Networking Luncheon for Delegates and Speakers
1:00
Modern AML Compliance Fundamentals & Advanced Innovative Solutions to Prevent Financial Crime
2:00
Spotlight on Consumer Protection from the Financial Consumer Agency of Canada (FCAC)
3:00
Networking Refreshment Break
Sponsored by:
KPMG
3:15
Modern Perspective on New Oversight & Innovation in Payments Compliance
4:00
Innovation in Compliance & The Future of Financial Services
4:40
Closing remarks
4:45
Conference Adjourns
5:00
Networking & Cocktail Reception

Day 2 - Wednesday, November 29, 2017

8:00
Refreshments are Served
8:30
Opening Remarks from the Co-Chairs
8:45
Spotlight on Privacy from the Office of the Privacy Commissioner of Ontario (OIPC)
9:30
Privacy Fundamentals – Effective Compliance Management Strategies for Financial Institutions
10:00
Networking Refreshment Break
10:15
CASL Compliance Best Practices
10:45
Spotlight on Whistleblower Compliance from the Ontario Securities Commission (OSC)
11:15
Annual Update from the Canada Deposit Insurance Corporation (CDIC)
12:00
Networking Luncheon for Delegates and Speakers
1:00
Hot Topic: OSFI’s Draft changes to its Corporate Governance Guideline for Public Consultation
1:30
An Advanced Focus On Regulatory Compliance For The Insurance Industry
2:15
Networking Refreshment Break
2:30
New Guidance On Regulatory Compliance For Canadian Credit Unions
3:15
Spotlight on the Investment Industry: Guidance on the Changing Proficiency Standard – The Elevation of Investor Protection?
4:00
Closing Remarks from Co-Chairs and Conference Concludes

Post-Conference Workshops

WORKSHOP C | Cybersecurity Compliance Fundamentals: Threat Intelligence 101

Nov 30, 2017 9:00am – 12:00pm

Speakers

Bryan Li
Managing Director, Cybersecurity Catalyst
Cybersecurity Project

WORKSHOP D | How to Build a Robust and Internal Cybersecurity Compliance Program

Nov 30, 2017 1:00pm – 4:00pm

Speakers

John Heaton
Partner, Cyber Security
KPMG Canada

Day 1 - Tuesday, November 28, 2017

8:00
Registration Opens and Refreshments are Served
8:50
Opening Remarks from the Co-Chairs

William Donegan
Chief Compliance Officer, Advisory Services
Manulife Financial

9:00
Financial Services Flash from the Office of the Superintendent of Financial Institutions (OSFI)

Carolyn R. Ibele
Director, Compliance AML & Compliance Division
Office of the Superintendent of Financial Institutions (OSFI)

  • Overview of Guideline E-13
  • Trends examined from recent assessments
  • Improvements FIs are making
  • CCO challenge

10:00
Networking Refreshment Break
Sponsored by:
KPMG
10:15
Financial Intelligence from the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)

Carrie Hagerman
Compliance Manager Relationship Management Unit
Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)

  • Update on new guidance that will be published in the coming year
  • Discussion on key messages pertaining to suspicious transaction reporting
  • Overview of a case that highlights the value of certain STRs and how quality of STRs can contribute to money laundering and terrorist financing investigations

11:15
Keynote: Regulation & The Economy

Dawn Desjardins
Vice President Deputy Chief Economist
RBC

The global economy revved up in 2017 and is on track to grow by 3.5%. The drivers of growth are broadening out and central banks in the advanced economies are shifting away from adding policy stimulus. In fact the US Fed and Bank of Canada are already in the midst of a rate hiking regime that is likely to continue in 2018. We anticipate that the global economy will continue to expand at a solid clip in 2018 notwithstanding the persistence of policy uncertainty and geopolitical risks.

Canada is headed to be the growth leader of the G-7 in 2017 backed by firm consumer spending and a recovery in business investment. Government stimulus is also bolstering growth. The pace of activity is likely to slow somewhat in 2018 as the housing market continues to cool with a corresponding tempering in consumption. That said, the economy is forecast to continue to expand at an above-potential pace with inflation expected to gradually rise.

12:00
Networking Luncheon for Delegates and Speakers
1:00
Modern AML Compliance Fundamentals & Advanced Innovative Solutions to Prevent Financial Crime

Jacqueline Shinfield
Partner Financial Services Group
Blake Cassels Graydon LLP

Caitlin Riddolls
Vice President & Deputy Global AML Officer Canadian Banking & North American Direct Channels
TD Financial Group

Eugenio DiMira
Director, Compliance AMLATF
Manulife Financial

  • Improving the effectiveness of your anti-money laundering compliance program
  • Guidance on regulatory expectations
  • Balancing regulatory expectations & the need for increased transaction monitoring
  • Exploring more innovative models and solutions
  • Artificial Intelligence and other AML compliance solutions

2:00
Spotlight on Consumer Protection from the Financial Consumer Agency of Canada (FCAC)

Richard Bilodeau
Director, Supervision and Promotion Branch
Financial Consumer Agency of Canada

  • Update from the FCAC on the proposed Bank Act protections for consumers
  • Summary of the top consumer complaints for 2017
  • Overview of industry standards and top policy objectives for 2018
  • Expectations of federally regulated financial institutions (FRFI’s)

3:00
Networking Refreshment Break
Sponsored by:
KPMG
3:15
Modern Perspective on New Oversight & Innovation in Payments Compliance

Jason Young
Director & Corporate Secretary
PayPal Canada

Olga Ziman Sabbagh
Senior Counsel
RBC

Grace Jung
Director of Mobile Software and Services
Interac

Doron Melnick
Partner, Management Consulting Advisory
KPMG LLP

  • Discuss the modernization of the Payments ecosystem
  • NEW Oversight & Regulation of Retail Payment Systems
  • Innovative payment solutions to improve your customer experience

4:00
Innovation in Compliance & The Future of Financial Services

Kyle Kemper
Executive Director
Blockchain Association of Canada

Sue Britton
CEO & Founder
Fintech Growth Syndicate

Christine Day
Chief Technology & Information Officer
Questrade Financial Group

Fabrice Zambito
CEO
OPES Software

Preeti Malik
Canada National Practice Lead, Risk & Compliance
Accenture

  • New developments in the Fintech
  • Update on innovation in Financial services: Regtech, Blockchain, Artificial Intelligence
  • Keeping pace: balancing regulation and innovation

4:40
Closing remarks
4:45
Conference Adjourns
5:00
Networking & Cocktail Reception

Day 2 - Wednesday, November 29, 2017

8:00
Refreshments are Served
8:30
Opening Remarks from the Co-Chairs

Rosalind Laruccia
AVP, Regulatory Requirements
Laurentian Bank of Canada

8:45
Spotlight on Privacy from the Office of the Privacy Commissioner of Ontario (OIPC)

David Goodis
Assistant Commissioner
Office of the Information & Privacy Commissioner of Ontario (OIPC)

  • Examine OIPC’s top priorities and concerns for 2018
  • Learn privacy protection tips for your organization
  • New guidance on how to respond in the event of a breach

9:30
Privacy Fundamentals – Effective Compliance Management Strategies for Financial Institutions

Karen Burke
Enterprise Chief, Privacy Officer
BMO Financial Group

  • Overview of the latest amendments to Personal Information Protection and Electronic Documents Act (PIPEDA)
  • New guidance on PIPEDA for financial institutions
  • Understand what financial institutions need to know about protecting customer privacy

10:00
Networking Refreshment Break
10:15
CASL Compliance Best Practices
10:45
Spotlight on Whistleblower Compliance from the Ontario Securities Commission (OSC)

Andre Moniz
Senior Investigative Counsel Office of the Whistleblower
Ontario Securities Commission (OSC)

  • Overview of the new Whistleblowing program
  • Examine impacts on financial institutions
  • Successes and challenges of the program post-launch
  • Key timelines and discussion on penalties for violation

11:15
Annual Update from the Canada Deposit Insurance Corporation (CDIC)

Dean Cosman
Senior Vice President, Insurance and Risk Assessment
Canada Deposit Insurance Corporation

  • CDIC’s role in the financial safety net and how it’s compliance requirements contribute to it
  • Update on CDIC’s plans and priorities
  • verview of CDIC compliance requirements and a look to the future

12:00
Networking Luncheon for Delegates and Speakers
1:00
Hot Topic: OSFI’s Draft changes to its Corporate Governance Guideline for Public Consultation

Suhuyini Abudulai
Partner, Financial Services Group
Cassels Brock & Blackwell LLP

This session will discuss OSFI’s draft changes to its Corporate Governance Guideline for Public Consultation and its proposals for a more focused and effective approach to governance of Canadian Financial Institutions.

1:30
An Advanced Focus On Regulatory Compliance For The Insurance Industry

Shayna Wiesenfield
Acting Deputy Director, Legal Branch
Financial Services Commission of Ontario (FSCO)

Receive guidance on the current regulatory landscape plus discuss the most topical, technological and transformational trends impacting the insurance industry right now.

2:15
Networking Refreshment Break
2:30
New Guidance On Regulatory Compliance For Canadian Credit Unions

Neelam Jolly
Director Regulatory Compliance
Meridian

Chris Galloway
Director, Compliance
Central 1 Credit Union

This session will discuss the building blocks/elements of setting up a right sized regulatory compliance management program specific to the complexity and size of credit unions.

3:15
Spotlight on the Investment Industry: Guidance on the Changing Proficiency Standard – The Elevation of Investor Protection?

Matthew Onyeaju
Vice President, Advisor Services Compliance & Chief Compliance Officer, IPCIC
Investment Planning Counsel

Alex Adeniyi
Chief Compliance Officer
iA Investment Counsel Inc.

  • Gain insights from the Investment Planning Counsel
  • Comprehensive guidance on the changing proficiency standard
  • Understand recent reforms for dealers, advisors and representatives
  • Critical compliance considerations for investors

4:00
Closing Remarks from Co-Chairs and Conference Concludes

WORKSHOP A | Regulatory Compliance Essentials for Financial Institutions

Nov 27, 2017 9:00am – 12:00pm

Diana Lowe
Partner, Risk Consulting, Financial Risk Management
KPMG Canada

David Pelkola
Director, Regulatory Risk & Compliance Management
KPMG Canada

Gabriella Evinich
Senior Manager, Financial Risk Management
KPMG Canada

What is it about?

(Registration Opens at 8:30 am) This session will provide comprehensive guidance on the latest fundamental compliance requirements for financial institutions
  • Comprehensive overview of the key elements of a successful compliance program for small and large financial institutions
  • Update on key domestic legislation and guidelines
  • New guidance on compliance and corporate governance
 

A light lunch will be served to those attending both Workshops A & B.

WORKSHOP B | How to Foster an Effective Compliance Culture Within Your Organization

Nov 27, 2017 1:00pm – 4:00pm

Camille Glover
Vice-President, Compliance & Ethics
OMERS

What is it about?

(Registration Opens at 12:30 pm) This session will provide practical guidance on how to develop and implement an effective compliance culture within your organization.
  • The importance of promoting a culture of compliance within your organization
  • How to avoid common mistakes
  • Key critical features of ensuring a successful internal compliance program

WORKSHOP C | Cybersecurity Compliance Fundamentals: Threat Intelligence 101

Nov 30, 2017 9:00am – 12:00pm

Bryan Li
Managing Director, Cybersecurity Catalyst
Cybersecurity Project

What is it about?

(Registration Opens at 8:30 am)  
  • Learn how to increase cybersecurity expectations within your financial institution
  • Discuss key cybersecurity trends in the financial services industry
  • Comprehensive discussion on threat intelligence and expert breach response strategies
 

A light lunch will be served to those attending both Workshops C & D.

WORKSHOP D | How to Build a Robust and Internal Cybersecurity Compliance Program

Nov 30, 2017 1:00pm – 4:00pm

John Heaton
Partner, Cyber Security
KPMG Canada

What is it about?

(Registration Opens at 12:30 pm)
  • Key elements and best practices for an effective internal compliance program
  • Threat and incident response strategies
  • Steps to build the program
  • Measuring your internal system’s effectiveness