The Canadian Legal Innovation Forum is producing an online series on risk and the evolving role of the compliance function in financial institutions. In a complex operating environment, these institutions are facing a myriad of risks: everything from changing market realities, regulation and cyber-resilience. As a critical line of defence, it falls upon the compliance function to assess these risks and create robust strategies to manage them.
The purpose of the series is threefold. To provide Canadian compliance practitioners with insights on drivers and context of risks facing organizations. Present examples of how compliance departments are leveraging people, processes and technology to manage them. And share best practices on how compliance practitioners can define, develop and implement effective compliance strategies in their organizations.
Structure:
2 part series - November 3rd (Buy-Side) and November 17th (Sell-Side)
90 minute presentation format per session with 3-4 expert presenters from the compliance/risk management space
Users will be able to access the series for free by registering their details
Series will be accredited for relevant CPD, CLE credits
Series will be available live or in archived format via the series website
Audience: Compliance Officers, Risk Managers, Legal Counsel, GRC Experts
Accreditation:
Law Society of Ontario: This program contains 2 hours of Professionalism Content.
Law Society of BC: This program is accredited for 2 hours of CPD.
Speakers Include
Series Outline
Part 1 (Buy-Side): How can organizations define, develop and implement an effective compliance strategy? (November 3rd: 12.00 - 1.30pm ET)
In part one of our two part series, our speakers will provide practitioner views on how to define, develop and implement an effective compliance strategy across the lines of defence on the buy-side of financial institutions. They’ll review the current key drivers of operational, market and
regulatory risk and how compliance groups are responding in kind. And, they will provide the audience with practical insights on how to get started or refine an existing compliance strategy.
Highlights will include:
How can a holistic approach be developed for a pan-organizational compliance strategy to help break out of the silo trap? How can compliance risks facing organizations be assessed?
Determining applicable use cases and matching them with the right technology.
Building the right team to implement an effective compliance strategy.
Developing a conduct and compliance-focused culture, with clear accountabilities, across the organization.
Contemporary challenges facing the buy-side and common approaches to them:
> Navigating evolutions in sales practices
> Alternative investments - best practices monitoring portfolios composed of alternative investments
> Emerging risks - what are the emerging risks for buy-side compliance professionals on the horizon and how can they address them?
Speakers:
Nadine Milne, Chief Compliance Officer, Portland Investment Counsel
Jonathan Moncrieff, Global Chief Compliance Officer, Fiera Capital
Jacqueline Sanz, Managing Director (Canada), Protiviti
Pam Thadani, Chief Compliance Officer, Capital International Asset Management
Part 2 (Sell-Side): How can organizations define, develop and implement an effective compliance strategy? (November 17th, 12.00 -1.30pm ET)
In part two of our series, our speakers will provide practitioner views on how to define, develop and implement an effective compliance strategy across the lines of defence on the sell-side of financial institutions. They’ll review the current key drivers of operational, market and regulatory risk and how compliance groups are responding in kind. And, they will provide the audience with practical insights on how to get started or refine an existing compliance strategy.
Highlights will include:
How can a holistic approach be developed for a pan-organizational compliance strategy to help break out of the silo trap? How can compliance risks facing organizations be assessed?
Determining applicable use cases and matching them with the right technology.
Building the right team to implement an effective compliance strategy.
Developing a conduct and compliance-focused culture, with clear accountabilities, across the organization.
Contemporary challenges facing the sell-side and common approaches to them:
> How compliance specialists are responding to enhanced CFR rules
- Connection to suitability and the impact of KYP for institutions and their advisors
> Managing evolutions in client disclosure requirements
- Conflicts, fee and role disclosure, privacy and cyber-resilience
> Navigating AML risks and reporting requirements surrounding virtual assets
Speakers:
Bill Donegan, Chief Compliance Officer, Manulife Securities
Denise Carson, Chief Compliance Officer, Chief Compliance Officer, BMO Private Investment Counsel
Kuno Tucker, Chief Compliance Officer, ATB Capital Markets
John Pepe, Resident Chief Compliance + Regulatory Officer, Proofpoint
Chair: Jacqueline Sanz, Managing Director (Canada), Protiviti
In association with:
Knowledge partner:
