26th Annual Flagship Conference on Regulatory Compliance for Financial Institutions

EARN CPD CREDITS

NEW Leverage the Virtual Venue to Customize Your Agenda with Curated Compliance Breakout Sessions

26TH ANNUAL FLAGSHIP CONFERENCE ON

REGULATORY COMPLIANCE for Financial Institutions November 17–18, 2020 (Eastern Standard Time) Virtual Conference

Reimagining the Way we Deliver Conferences Our virtual conferences are the same conferences you have come to expect in person but transformed to a virtual format. The new virtual conference delivers the same access to a community of industry leaders we have spent decades building and nurturing. We invite you to be part of this community.

Senior Government Officials Provide Guidance on How to Mitigate Operational Risks:

Guillaume Giguère Manager, Examinations Compliance FINTRAC

David Goodis Assistant Commissioner Office of the Information & Privacy Commissioner of Ontario

Elspeth Bowler Managing Director, Operational Risk Division OSFI

What’s New This Year…

Immerse yourself in live presentations, panel discussions, specialized breakout sessions and networking opportunities.

UNIVERSITY

REGULATOR TOWNHALL Gain guidance from OSFI, FINTRAC and FSRA on how to avoid compliance missteps during the pandemic as business resumes, 2021 priorities and future assessments

Engage in meaningful dialogue with attendees and speakers in an interactive format.

Comments

1:1 PEER-TO-PEER NETWORKING Make new connections, face-to-face. Troubleshoot top pain points and share breakthrough strategies using an interactive virtual feature that will introduce you to fellow industry peers for a quick conversation

Expand your network to a global audience.

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CONCURRENT BREAKOUT SESSIONS An opportunity for teams or those who need to master all areas of compliance. Each day you will customize your agenda by selecting one of three topics pertaining to AML, Technology and Conduct, Compliance Culture and Consumer Trust to enhance your knowledge of the regulatory environment

Associate Sponsors

MEET A MENTOR Are you new to Compliance? Come camera ready to meet a seasoned industry leader for an informal 1-on-1 chat about how to hone your skills and build your career NEW VIRTUAL CONFERENCE FORMAT Immerse yourself in live presentations, panel discussions, specialized breakout sessions and networking opportunities

CanadianInstitute.com/RegulatoryCompliance • 888 224 2480

Part of C5 Group’s FINANCIAL COMPLIANCE SERIES

Introducing the 2020 Advisory Board The Canadian Institute would like to thank its newly established advisory board for bringing its experience and expertise to the development our 2020 program. In consultation with the board we curated two-days of industry led discussions and networking opportunities, tackling some of the biggest changes and challenges in the regulatory compliance landscape.

Conference Chair: Danielle Lin Vice President Canadian Banking & Consumer Legislation Compliance TD Bank Group Lisa Cinelli Vice-President, Chief Compliance Officer and Chief AML Officer Equitable Bank

Distinguished Faculty Swati Agrawal Senior Manager – Market Conduct (Life & Health Insurance) FSRA

Eugenio DiMira Head of Global Compliance AMLATF Program Manulife

Rosalind Laruccia Assistant Vice President, Internal Audit Laurentian Bank of Canada

2 | #CIRegComp twitter: @CI_Financial

Suhuyini Abudulai Partner Cassels Brock and Blackwell LLP

PJ Fournier Associate Director, Risk & Compliance Protiviti

Donna Bales Co-Founder Canadian RegTech Association

Joseph Mari Director, Financial Intelligence Unit and External Partnerships Scotiabank

Julie-Martine Loranger Partner McCarthy Tétrault LLP

Ilona Niemi Group Chief Compliance Officer The Co-operators Jennifer M. Riordan SVP, Enterprise Risk Management (Americas) Wells Fargo Bank N.A

Teresa Frick Director of Supervision, Supervision and Enforcement Branch FCAC Sara Gelgor Chief Compliance Officer Concentra Bank

Maryann Besharat Vice President, Legal & Compliance Intact Financial Corporation

PJ Di Giammarino Chair RegTech Council

Natalie Biderman Managing Counsel CIBC

Michael Burgess Senior Manager, Major Investigations/Demarkets BMO Financial Group

Neil Butters AVP Digital IP and Innovation Interac Corp. Canada

Julie Bryski Senior Director, Talent Initiatives Toronto Finance International

David Goodis Assistant Commissioner Office of the Information & Privacy Commissioner of Ontario

linkedin: The Canadian Financial Services Network

Asad Rauf Vice President, Chief Compliance Officer SBI Bank Canada

Brigitte Goulard Senior Counsel Torys LLP (Former Deputy Commissioner, FCAC)

Peter Routledge President & CEO CDIC

Martin Hovington Director of investigations, Market Abuse AMF

Anie Stuart Managing Director, Culture and Conduct Risk Division OSFI

Ula Ubani Chief Ethics & Conduct Officer BMO Financial Group

Charlene Varty Senior Manager Compliance, Canadian Banking Compliance TD Bank Group

David Vijan CRO Outlier Solutions Inc.

Gina Jeneroux Chief Learning Officer BMO Financial Group

Mark Pawelek Chief Compliance Officer Chief Privacy Officer & Member Concerns Officer Motusbank Cullen Price Manager, Market Abuse Ontario Securities Commission

Guillaume Giguère Manager, Examinations Compliance FINTRAC

Elspeth Bowler Managing Director, Operational Risk Division OSFI

David Chesworth Chief Consumer Protection Officer, Regulatory Compliance Canadian Western Bank

Charles Corlett Director, Enforcement Litigation IIROC Gene DiMira Head of Global Compliance AMLATF Program Manulife

Imran Ahmed Partner Blakes, Cassels & Graydon LLP

David Chesworth Chief Consumer Protection Officer, Regulatory Compliance Canadian Western Bank

Asad Rauf Vice President & Chief Compliance Officer SBI Bank Canada

Camilla Mackenzie Chief Compliance & Ethics Officer Export Development Canada and FinDev Canada

T

he risk profile for financial institutions has been shaken up by the push to digital and new remote work arrangements. The Canadian Institute’s 26th Annual Regulatory Compliance for Financial Institutions Flagship program has been designed to provide your organization with clarity following this period of rapid adaptation.

It’s a critical juncture for compliance teams as they strive to ensure continuity across the three lines of defense and operationalize new and impending regulatory packages as they step into 2021.

CI invites you to join regulators and industry peers virtually on November 17-18, 2020 for a series of in-depth discussions and curated strategy sessions focused on preparing your team for evolving regulatory expectations.

Throughout the two-day program you will hear from government regulators about their priorities moving into 2021. Industry leaders will share their insights on how to address leading compliance deficiencies, navigate ethical quandaries and build a strong culture of compliance.

This is your opportunity to gain knowledge about the regulatory landscape globally and build confidence into your approach to emerging risks in security and privacy, consumer protection and more…

A Must Attend Event for Professionals Focused on Preparing for the Future of Compliance ĉ Chief Compliance Officer

ĉ Chief Anti Money Laundering Officers

ĉ Chief Privacy Officer

ĉ Risk Officers

Interactive Virtual Conference Features This program is designed to bring the dynamic, in-person conference experience to you virtually with multiple ways to engage with speakers, stay connected with industry peers and expand your professional network through 1-on-1 compliance focused conversations.

UNIVERSITY

�

REGULATOR TOWNHALL

OSFI, FSRA and FINTRAC answer your questions! Inform your organization’s next steps with guidance straight from the regulator. Submit questions in advance or engage directly during the session.

MEET A MENTOR A unique face-to-face virtual learning experience for compliance professionals looking to foster growth within the industry.

Whether you’re looking for professional guidance or are keen to offer up your best industry advice as a mentor this is a great opportunity to hone your skills and advance your career.

Legal Accreditation EARN CPD CREDITS

ĉ Heads of Regulatory Compliance

This 2-day conference program can be applied towards 9 of the 9 substantive hours of annual Continuing Professional Development (CPD) as required by the Law Society of Ontario. In addition, 3 hours can be applied towards the Professionalism requirement.

LIVE POLLING

LIVE POLLING

Weigh in and seize the opportunity to benchmark with industry peers in real-time on leading compliance issues.

VIRTUAL NETWORKING RECEPTION Join us for a lively discussion about building and retaining skilled, agile compliance teams in this increasingly dispersed, digital world.

Bring your bold ideas, leadership success stories and strategies for identifying and fostering forward looking compliance officers.

Supported By

The same number of hours may be applied toward your continuing legal educational requirements in British Columbia.

For Alberta lawyers, consider including this course as a CPD learning activity in your mandatory annual Continuing Professional Development Plan as required by the Law Society of Alberta.

CanadianInstitute.com/RegulatoryCompliance • 888 224 2480

Part of C5 Group’s FINANCIAL COMPLIANCE SERIES

Day One

Tuesday, November 17 (all times in est) 9:00

Opening Remarks from the Chair

Microphone-alt Danielle Lin, Vice President, Canadian Banking & Consumer Legislation Compliance, TD Bank Group

9:15 REGULATOR TOWNHALL

UNIVERSITY

Adjusting Operations to Meet Expectations and Avoid Compliance Missteps During and After COVID

Microphone-alt Guillaume Giguère, Manager, Examinations Compliance, FINTRAC

11:15

Consumer Protection: How to Align Operations with Bill C-86 Provisions and Promote Fair and Equitable Dealings

Microphone-alt Teresa Frick, Director of Supervision, Supervision and Enforcement Branch, FCAC

Brigitte Goulard, Senior Counsel, Torys LLP

Natalie Biderman, Managing Counsel, CIBC

• Adjusting operations to align with enhanced policy and procedure requirements under the bank act • Examining examples of fair and equitable dealings with vulnerable consumers • Understanding FCAC enforcement regime • Preparing for provisions under the FCAC Act: Learn how the regulator will be applying auditing and enforcement power

Swati Agrawal, Senior Manager – Market Conduct (Life & Health Insurance), FSRA

• Developing compliant sales practices for virtual or non-face-toface interactions

moderator: Sara Gelgor, Chief Compliance Officer, Concentra Bank

12:15

Navigating Shifts in the Global Economy and Impending Changes Under the CDIC Act

Microphone-alt Peter Routledge, President & CEO, CDIC Examine the economic outlook for Canada and key changes under the CDIC Act that that will impact your organization on a new timeline due to COVID. Ensure your organization has hit recent compliance targets and is on track to operationalize changes with guidance on data system requirements and the Co-owned and Trust Deposit By-law.

10:45 | Break

Microphone-alt Cullen Price, Manager, Market Abuse, Ontario Securities Commission

Charles Corlett, Director, Enforcement Litigation, IIROC

Martin Hovington, Director of investigations, Market Abuse, AMF

• Understanding implications of recent regulatory developments

Anie Stuart, Managing Director, Culture and Conduct Risk Division, OSFI

10:15

Top 5 Lessons from Recent Enforcement Actions

Former Deputy Commissioner, FCAC

• Gain guidance on regulatory flexibility due to COVID and the implications for future assessments and adjudication of breaches • Leveraging insights on new operational risks for remote teams • Align operations with regulator plans for the resumption of obligations to avoid missteps • Managing emerging conflicts between offering services and health and safety

2:00 SPOTLIGHT ON MARKET CONDUCT

• Examining compliance oversight failures for FX traders • Extracting compliance lessons from recent cases of market manipulation and insider trading • Analyzing enforcement of whistleblower reprisal rules under the Securities Act 3:00

Networking Break

Comments

Make new connections, face-to-face. Troubleshoot top pain points and share breakthrough strategies using an interactive virtual feature that will introduce you to fellow industry peers for a quick conversation.

Networking Break AFTERNOON BREAKOUTS

EXPAND-ARROWS-ALT

Compliance professionals must manage a wide range of risks and stay up to speed with ever evolving regulations. These concurrent sessions have been designed to provide you with an opportunity to enhance your knowledge across different compliance disciplines.

The first series of sessions will examine global trends in the regulatory environment and what they mean for your organization.

We invite you to customize your agenda by selecting one to attend.

1:00

Top 10 Developments in Regulatory Compliance to Watch Around the World and the Implications for your Organization STREAM 1 FINANCIAL CRIME angle-double-right Examining the Top 10 Trends in AML & Financial Crime to Prepare Your Organization for a Shifting Regulatory Landscape

3:15

Internal Investigations: How to Leverage Technological Tools and Techniques to Detect and Deter Misconduct

Microphone-alt Julie-Martine Loranger, Partner, McCarthy Tétrault LLP • Key steps to launch an investigation • Understanding your disclosure obligations and protections • Analysis of technological tools and techniques • Overcoming common challenges 4:00 INDUSTRY EXECUTIVE FIRESIDE CHAT

Leveraging Human and Financial Resources to Meet Higher Compliance Expectations

Microphone-alt Jennifer M. Riordan, SVP, Enterprise Risk Management (Americas), Wells Fargo Bank N.A

Microphone-alt Suhuyini Abudulai, Partner, Cassels Brock and Blackwell STREAM 2 TECHNOLOGY angle-double-right Assessing 10 Opportunities in the RegTech, FinTech and the Digital Landscape

4 | #CIRegComp twitter: @CI_Financial linkedin: The Canadian Financial Services Network

1:1 PEER-TO-PEER NETWORKING

Ilona Niemi, Group Chief Compliance Officer, The Co-operators

Mark Pawelek, Chief Compliance Officer, Chief Privacy Officer & Member Concerns Officer, Motusbank

Microphone-alt Donna Bales, Co-Founder, Canadian RegTech Association

• Leveraging new tools to communicate strategic objectives and values

• Finding opportunities for workflow efficiencies through centralization or automation

PJ Di Giammarino, Chair, RegTech Council

• Providing effective internal oversight and training to remote compliance teams • Planning for the future: insights on how industry leaders are pivoting during the pandemic to ensure compliance 5:00 NETWORKING RECEPTION

Tools and Techniques to Build and Retain Skilled, Agile Compliance Teams

Microphone-alt Julie Bryski, Senior Director, Talent Initiatives, Toronto Finance International

Gina Jeneroux, Chief Learning Officer, BMO

• Crafting effective communication: What to say to your customers about Data Ethics

1:00

10:15

Third Party Risk Management: Establishing the Right Metrics and Monitoring Practices to Meet Regulator Outsourcing Requirements

A unique face-to-face virtual learning experience that will allow you to receive professional guidance or offer it as a mentor. Come camera ready for an informal 1-on-1 conversation about honing skills and building your career.

Microphone-alt Elspeth Bowler, Managing Director, Operational Risk Division,

This is a great opportunity to foster growth within the industry and make a new connection.

OSFI

PJ Fournier, Associate Director, Risk & Compliance, Protiviti

Wednesday, November 18 (all times in est)

• Applying a risk-based approach to outsourcing activities • Managing Cloud-based risks • Strengthening effective monitoring and incident management: Best practices for engaging with vendors • Exploring examples of strong vendor oversight from the regulator • Establishing safeguards to ensure compliance with legislative requirements for location of records • Building a contingency plan for potential service disruptions to ensure business lines remain operational and compliant

9:00

11:15 | Break

5:45

Day One Concludes

Day Two

Opening Remarks from the Chair

Microphone-alt Danielle Lin, Vice President, Canadian Banking & Consumer Legislation Compliance, TD Bank Group

9:15

Cyber Security & Privacy Compliance in an Increasingly Digital Economy: A Playbook for Protecting the Organization and the Client

Microphone-alt David Goodis, Assistant Commissioner, Office of the Information & Privacy Commissioner of Ontario

Imran Ahmed, Partner, Blakes, Cassels & Graydon LLP

Maryann Besharat, Vice President, Legal & Compliance, Intact Financial Corporation

• Mitigating heightened cyber risks : How to effectively prepare your organization for a cyber incident • Equipping your remote workforce with the tools, policies and procedures to protect against fallout • Learn about privacy regulators’ expectations for cybersecurity, and decisions and guidance documents • Navigating differences in the provisions under PIPEDA and the impending legislation under Bill 64 in Quebec • Managing operations where the technological is expedited and privacy component lags • Building a Data Ethics framework: research, stakeholders, the role of Legal and Compliance

Meet a Mentor

AFTERNOON BREAKOUTS

EXPAND-ARROWS-ALT

Compliance professionals must manage a wide range of risks and stay up to speed with ever evolving regulations. These concurrent sessions have been designed to provide you with an opportunity to enhance your knowledge across different compliance disciplines.

The first series of sessions will examine global trends in the regulatory environment and what they mean for your organization.

We invite you to customize your agenda by selecting one to attend.

1:30

From Zero to Sixty: A Practical Roadmap for the Canadian Regulatory Compliance Landscape STREAM 1

11:45 ETHICS TRAINING WITH LIVE POLLING

Minimizing Misconduct Risks: Tools and Techniques to Promote Integrity, Ethics and a Culture of Compliance

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LIVE POLLING

FINANCIAL CRIME angle-double-right Fine-tuning Investigations, Documentation and Reporting to Meet Regulatory Obligations under the PCMLTFA

Microphone-alt David Vijan, CRO, Outlier Solutions Inc.

Microphone-alt Ula Ubani, Chief Ethics & Conduct Officer, BMO Financial Group

STREAM 2

Technology angle-double-right Meeting your Match: Analyzing the Latest Digital ID Tools, Applications and Regulations

Camilla Mackenzie, Chief Compliance & Ethics Officer, Export Development Canada and FinDev Canada

• Understanding the influences and biases that lead to personal misconduct • Bringing your team up to speed on ethics law and regulations for financial services • Building an effective code of conduct along with a corporate culture that demonstrates those values • Analyzing Ethical Dilemmas: Learn where teams are most at risk of failing to meet standards • Applying best practices for complex decision-making to protect against ethical, reputational and financial risk

Microphone-alt Gene DiMira, Head of Global Compliance AMLATF Program, Manulife

Neil Butters, AVP Digital ID and Innovation, Interac Corp. Canada

STREAM 3 CONDUCT, COMPLIANCE CULTURE AND CONSUMER TRUST angle-double-right Strategies for Implementing a Complaint Handling Program that Meets Bill C-86 Requirements

Microphone-alt David Chesworth, Chief Consumer Protection Officer, Canadian Western Bank

12:45

Networking Break

CanadianInstitute.com/RegulatoryCompliance • 888 224 2480

Charlene Varty, Senior Manager Compliance, Canadian Banking Compliance, TD Bank Group

2:30 | Break

C5 GROUP’S VIRTUAL EVENTS

2:45

Determining When to De-risk: Top 5 Major Pitfalls to Avoid when Ending a Client Relationship

Microphone-alt Michael Burgess, Investigations & Delisting, BMO

Joseph Mari, Director, Financial Intelligence Unit and External Partnerships, Scotiabank

Join us virtually this November.

• Exploring de-risking beyond a variant on “KYC” and “CDD” onboarding issues: Understanding contractual obligations to the client and managing their expectations

As the current global situation continues to unfold, we understand that it may not be possible to attend our events in person.

• Setting de-risking criteria and executing the decision-making process in the context of a clear risk tolerance framework

At the same time, we also understand that collaboration is more vital than ever and for that, you can still rely on CI to bring the industry together but in a different way. We are transforming quickly to ensure you can now connect virtually and continue to gain unparalleled access to market leading intelligence and to the facilitation of a global exchange of expertise.

• The special case of AML and TF risk – more than just a regulatory issue: How to avoid reputational, financial and other risk including ethical concerns and even potentially criminal liability due to amendments to the Criminal Code in June 2019 3:45 LIVE POLLING SESSION �

LIVE POLLING

Conducting Robust Risk Assessments in a Shifting Regulatory Landscape

Our new virtual events continue to be guided by our unifying philosophy: we believe that growth and success occurs when the power of people and the power of information come together. We may not be able to gather in person, but nothing stops connection and innovation.

Microphone-alt Asad Rauf, Vice President & Chief Compliance Officer SBI Bank Canada

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:

Watch a demo of our virtual event platform here.

Participate in Meaningful Networking

• Meet regulator expectations: identifying common deficiencies that come up in examinations

Globe-Americas

• Devise a methodology that moves from qualitative to quantitative risk assessment • Harness insights from the risk assessment and operationalize a risk-based approach 4:30

Conference Concludes

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Exclusive by-invitation Experiences Participate in an immersive experience and engage with clients and peers to create memorable connections.

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6 | #CIRegComp twitter: @CI_Financial

Meet Fellow Delegates

CanadianInstitute.com/RegulatoryCompliance

linkedin: The Canadian Financial Services Network

1:1 Speed Networking Connect at random with other attendees at the conference through our 1:1 networking option.

Upcoming Events Calendar-alt November 19, 2020

Calendar-alt January 27–28, 2021

6th Annual Forum on

21st National Forum on

For Canadian Operations

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Anti-Money Laundering

and Financial Crime

The C5 Group, comprising American Conference Institute, The Canadian Institute and C5 in Europe, is a leading global events and business intelligence company. For over 30 years, C5 Group has provided the opportunities that bring together business leaders, professionals and international experts from around the world to learn, meet, network and make the contacts that create the opportunities. Our conferences and related products connect the power of people with the power of information, a powerful combination for business growth and success.

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