2023 Agenda
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Day 1 - Tuesday, November 21, 2023
Day 2 - Wednesday, November 22, 2023
8:00 |
Networking Breakfast and Registration |
9:00 |
Opening Remarks from the Co-Chairs |
9:10 |
OPC KeynotePhilippe Dufresne, The Privacy Commissioner of Canada |
9:45 |
OSFI’s New Integrity and Security MandateKey Practical Considerations for Financial Institutions |
10:45 |
Networking Break |
11:00 |
The Future of Canadian AML/ATF Regime: Priorities and What’s on the Horizon |
12:00 |
Networking Luncheon |
1:00 |
Navigating Third-Party RiskIdentifying and Reducing Third-Party Risk While Meeting Business Needs and Complying with Rapidly Changing Regulations |
2:00 |
CDIC InsightsCDIC Insights: Key Learnings from Recent Compliance Reviews and an Overview of Key CDIC Initiatives |
2:30 |
Networking Break |
2:45 |
FCPF ConsiderationsLooking Ahead at the Financial Consumer Protection Framework (FCPF) for the Next 12 Months |
4:00 |
Cyber Risks in CanadaThe Impact of Bill C-26 on Financial Institutions and Other Federally Regulated Critical Infrastructure in Canada |
4:45 |
Closing Remarks and Conference Adjourns |
Day 1 - Tuesday, November 21, 2023
8:00 |
Networking Breakfast and Registration |
9:00 |
Opening Remarks from the Co-ChairsSafiya Adenekan Kuno Tucker |
9:10 |
OSFI KeynoteTheresa Hinz, Executive Director, Regulatory Affairs Directorate, OSFITheresa Hinz |
9:45 |
Payments Modernization in CanadaStaying Ahead of Important Trends, Initiatives, and Regulations Moving into 2024Peter Aziz Edgar Barbosa Christine Hunter Moderator:Mayuran Vallipuram Canada’s Payments Modernization initiative has been a multi-year, industry-wide program that includes the introduction of a new real-time payments rail (RTR), the first real-time payment system that supports instant, data-rich payments. Fundamental to the systems are modern rules and standards, including the introduction of the ISO 20022 global payment messaging standard, which supports payment data traveling with payments. During this panel, we will explore payments modernization in Canada, including:
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10:45 |
Networking Break |
11:00 |
Exploring Key Uses and Risks of AI in ComplianceOpportunities and Challenges for Financial Institutions in CanadaSudhanshu Bahadur Adam Garetson Carole Piovesan Moderator:Kuno Tucker
Compliance professionals can leverage AI in compliance investigations to enhance efficiency, effectiveness, and accuracy. During this panel, we will explore both considerations and opportunities that compliance leaders should keep in mind in order to ensure responsible and effective use of AI and other technologies in compliance and compliance investigations. Discussion points during this panel will include:
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12:00 |
Networking Luncheon |
1:00 |
Best Practices for Partnering with Business UnitsStrengthening the Culture of Compliance Across Your Organization through Effective CollaborationSafiya Adenekan Denise Carson Fara Sim-Francois Stephanie Mould Kiran Thakkar Moderator:Wayne Bolton Strengthening compliance across an organization requires a collaborative effort involving various stakeholders, especially business units that are directly involved in day-to-day operations. During this panel discussion, we will explore steps to effectively partner with business units to strengthen compliance. Discussion points for this panel will include:
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2:15 |
Managing Evolving Financial Crime TypologiesHow Financial Institutions Can Stay Prepared for the Newest, Most-Sophisticated TechniquesFrank Mauti Dwayne King Gary Valiquette Moderator:Garry Clement Anti-Money Laundering (AML) and the financial sector’s evolving typologies are continuously adapting to address new challenges posed by money laundering and terrorist financing. During this panel, we will discuss key aspects to AML and evolving typologies in the financial sector, including:
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3:00 |
Networking Break |
3:15 |
Incoming Regulatory and Policy ChangesA Review of New and Proposed Updates to Canada’s Anti-Money Laundering and Terrorist Financing RegimeJeffrey Simser Sandy Stephens Nick Bray Regulated entities need to continually review their AML and ATF compliance policies. Canada’s AML system is at an inflection point: The Proceeds of Crime (Money Laundering) and Terrorist Financing Act is up for a parliamentary review; a new structuring offence has been created, and reporting entities need to examine their business models and delivery channels to ensure compliance. Additionally, the next mutual evaluation of Canada is pending from the Financial Action Task Force. This past summer, the Department of Finance issued a policy consultation paper on a broad variety of potential changes to the AML system. What do these incoming regulatory and policy changes mean for you? What’s next? During this panel, we will explore:
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4:15 |
Crypto Risks, Red Flags, and ResponsesExploring Crypto Assets Regulation, Threats, and Risks on the Radar for Financial Institutions in CanadaMaude Blanchette Joseph Iuso During this session, we will dive into an overview of existing requirements for crypto platforms operating in Canada and we will explore the threats observed by Securities Regulator, including:
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5:00 |
Day 1 Adjourns to Sponsored Networking Cocktail Reception
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Day 2 - Wednesday, November 22, 2023
8:00 |
Networking Breakfast and Registration |
9:00 |
Opening Remarks from the Co-ChairsSafiya Adenekan Kuno Tucker |
9:10 |
OPC KeynotePhilippe Dufresne, The Privacy Commissioner of CanadaPhilippe Dufresne |
9:45 |
OSFI’s New Integrity and Security MandateKey Practical Considerations for Financial InstitutionsNeil Lacroix Simon Zou Michael Mignardi Moderator:Vladimir Shatiryan On October 13, 2023, the Office of the Superintendent of Financial Institutions (OSFI) released its draft Integrity and Security Guideline, which sets expectations for the integrity and security of federally regulated financial institutions. Earlier in June 2023, the federal financial institutions legislation was amended to require financial institutions to implement policies and procedures for protecting against threats to integrity and security and to expand OSFI’s mandate to oversee compliance with these new requirements. The panel will explore key practical considerations for financial institutions preparing to implement the new OSFI expectations on integrity and security requirements, including on how they will impact regulatory compliance management programs, employee screening, updates to existing policies, procedures and codes of conduct, as well as foreign interference risk management tools. |
10:45 |
Networking Break |
11:00 |
The Future of Canadian AML/ATF Regime: Priorities and What’s on the HorizonJustin Brown Charlene Davidson During this panel, hear from Department of Finance Canada and FINTRAC as we explore insights on several topics, including:
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12:00 |
Networking Luncheon |
1:00 |
Navigating Third-Party RiskIdentifying and Reducing Third-Party Risk While Meeting Business Needs and Complying with Rapidly Changing RegulationsMelanie Hoad Marie Houde Jessica Kim Prashant Panavalli Moderator:Claudia Fuchs Identifying and reducing third-party risk is crucial for businesses to protect their data, reputation, and overall security. However, it must be done while still meeting business needs and complying with changing regulations. During this panel, we will discuss steps you can take to achieve this important balance:
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2:00 |
CDIC InsightsCDIC Insights: Key Learnings from Recent Compliance Reviews and an Overview of Key CDIC InitiativesEmiel-Johan van der Velden CDIC’s by-laws set out many requirements, and the various CDIC guidance add to these a multitude of expectations. During Part I of this session, CDIC will highlight some important observations following its recent compliance activities. Part II of the session will focus on key initiatives such as CDIC’s Deposit Insurance Study (launched in February 2023), CDIC’s Payout Modernization Initiative, and the implementation of its amended Differential Premiums Framework. Note that various CDIC staff will be in attendance during the conference to interact with participants regarding CDIC’s requirements. |
2:30 |
Networking Break |
2:45 |
FCPF ConsiderationsLooking Ahead at the Financial Consumer Protection Framework (FCPF) for the Next 12 MonthsDavid Merriby Andrew Oakden Taha Patoli Mark Pratt Pina Ferlisi-Sartor Moderator:David Chesworth Strengthening your complaint-handling process and optimizing your whistleblowing program are essential steps in complying with the FCPF and maintaining a high standard of consumer protection. During this panel, we will explore considerations for both aspects, including:
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4:00 |
Cyber Risks in CanadaThe Impact of Bill C-26 on Financial Institutions and Other Federally Regulated Critical Infrastructure in CanadaRichard Larose Kelly-Anne Gibson This panel will discuss Bill C-26, a significant piece of legislation that will require designated critical cyber systems’ operators to establish a cyber security program to protect their critical cyber systems. The Bill mandates that each designated critical cyber system operator will need to take reasonable steps to identify and manage cyber security risks and immediately report any cybersecurity incidents above a certain threshold to the Communications Security Establishment (CSE) and notify their regulator. We will explore:
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4:45 |
Closing Remarks and Conference Adjourns |