RegTech Community


Archived Event
Regulatory Compliance for Financial Institutions

In Partnership with:

About the Event

PJ Di Giammarino will speak on the Assessing 10 Opportunities in the RegTech, FinTech and the Digital Landscape Panel

 

Join regulators and industry peers virtually for a series of in-depth discussions curated strategy sessions focused on preparing your team evolving regulatory expectations.

  • 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
  • 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.
  • 1:1 Peer-to-Peer Networking: Come equipped with your top pain point to troubleshoot or breakthrough strategy to share industry peers
  • Meet a Mentor: Are you new to Compliance? Meet a seasoned industry leader for an informal chat about building skills and growing your career

 

Financial Institutions have been forced to pivot in 2020 in order to continue to safely deliver services to Canadians.

The 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.

Throughout the two-day program you 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!

Event Agenda

Day 1 – Tuesday, November 17, 2020

9:00
Opening Remarks from the Chair
9:15

REGULATOR TOWNHALL

Adjusting Operations to Meet Expectations and Avoid Compliance Missteps During and After COVID
10:15
Navigating Shifts in the Global Economy and Impending Changes Under the CDIC Act
10:45
Break
11:00
Consumer Protection: How to Align Operations with Bill C-86 Provisions and Promote Fair and Equitable Dealings
12:00
Networking Lunch
1:1 Peer-To-Peer Networking
1:00
Afternoon Breakouts
2:00

SPOTLIGHT ON MARKET CONDUCT

Top 5 Lessons from Recent Enforcement Actions
3:00
Break
3:15

INTERNAL INVESTIGATIONS

How to Leverage Technological Tools and Techniques to Detect and Deter Misconduct
4:00

INDUSTRY EXECUTIVE FIRESIDE CHAT

Leveraging Human and Financial Resources to Meet Higher Compliance Expectations
5:00

NETWORKING RECEPTION

Tools and Techniques to Build and Retain Skilled, Agile Compliance Teams
5:45
Day One Concludes

Day 2 – Wednesday, November 18, 2020

9:00
Opening Remarks from the Chair
9:15
Cyber Security & Privacy Compliance in an Increasingly Digital Economy: A Playbook for Protecting the Organization and the Client
10:15

THIRD PARTY RISK MANAGEMENT

Establishing the Right Metrics and Monitoring Practices to Meet Regulator Outsourcing Requirements
11:15
Break
11:30

ETHICS TRAINING WITH LIVE POLLING

Minimizing Misconduct Risks: Tools and Techniques to Promote Integrity, Ethics and a Culture of Compliance
12:30
Networking Break
1:00
Meet a Mentor
1:30
Afternoon Breakouts
2:30
Break
2:45
Determining When to De-risk: Top 5 Major Pitfalls to Avoid when Ending a Client Relationship
3:45

LIVE POLLING SESSION

Conducting Robust Risk Assessments in a Shifting Regulatory Landscape
4:30
Conference Concludes
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