Live Polling Session

Conducting Robust Risk Assessments in a Shifting Regulatory Landscape

November 18, 2020 3:45pm

Asad Rauf
Vice President & Chief Compliance Officer
SBI Canada Bank

Risk assessments are a critical and mandatory task for financial institutions at an enterprise level as stipulated under the OSFI E-13 framework as well as FINTRAC’s ongoing monitoring requirements. Understanding and managing your compliance risk exposure requires an effective framework for assessment and management. In this session you will learn to how to:

  • Meet regulator expectations: identifying common deficiencies that come up in examinations
  • Devise a methodology that moves from qualitative to quantitative risk assessment
  • Harness insights from the risk assessment and operationalize a risk-based approach