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RC Agenda_Aug26

This document provides information about an upcoming conference on Regulatory Compliance for Financial Institutions that will take place on December 10-11, 2015 in Toronto. The two-day conference will feature presentations from regulators, financial institutions, and legal and consulting firms on topics such as anti-money laundering regulations, privacy laws, cybersecurity, and meeting corporate governance obligations. Participants can also attend pre-conference workshops on the fundamentals of the Canadian regulatory framework and building privacy into business processes. The event aims to help financial institutions of all sizes meet evolving regulatory requirements and exceed compliance expectations.

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@CI_FICompliance #CIRegComp 1 REGISTER NOW | 1-877-927-7936 | @CI_FICompliance #CIRegComp December 10–11, 2015 | Metro Toronto Convention Centre, North Building REGULATORY COMPLIANCE for Financial Institutions The Canadian Institute’s Proven Risk Management for FI’s of All Sizes 21st ANNUAL Meet and exceed regulatory expectations! Learn best practices from the Big Five domestic banks and other leading financial institutions. TD Bank, CIBC, Norton Rose Fulbright Canada LLP, HSBC Bank Canada, Blake, Cassels & Graydon LLP, TD Cards, Protiviti, Scotiabank, McCarthy Tétrault LLP, Alterna Savings and Bank, Hansell LLP, Fasken Martineau DuMoulin LLP, Osler, Blakes, Burt, Staples & Maner LLP, Deloitte, Equitable Bank, Manulife Financial, Central 1 Credit Union Hear directly from Government, Regulators and Key Industry Associations: Department of Finance Canada Office of the Superintendent of Financial Institutions (OSFI) Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) Financial Consumer Agency of Canada (FCAC) Office of the Privacy Commissioner of Canada (OPC) Canadian Bankers Association (CBA) Ethidex TM Sponsored By: Maximize your learning experience by attending our practical and in-depth pre-conference workshops A Compliance 101: Fundamentals of the Canadian Regulatory Framework B Privacy By Design: Build Privacy into the Design, Operation and Management of Your Business Process or Design Specification EARN CPD HOURS
YOUR COMPLETE GUIDE TO REGULATORY COMPLIANCE FOR FI’S OF ALL SIZES SPEAKER FACULTY WHO YOU WILL MEET Compliance Officers Operations and Risk In-house Counsel Internal Auditors Accountants Risk Managers IT and Operations From Regulatory Authorities Domestic and Foreign Banks Credit Unions Life Insurance Companies Investment Banks and Advisors Securities Firms Asset-management Firms Financial Advisory Companies Operational Risk Management Law Firms Accounting Firms Consulting Firms Pension Funds Government/Regulators/Associations Nicolas Burbidge Senior Director, AML & Compliance Division, Office of the Superintendent of Financial Institutions (OSFI) Andrea Cotroneo General Counsel and Corporate Secretary, Canadian Bankers Association Teresa Frick Director, Compliance and Enforcement Branch, Financial Consumer Agency of Canada (FCAC) Bernard Gagné Deputy Chief Compliance Officer Compliance Relations and Support Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) Scott Knight Managing Director Office of the Superintendent of Financial Institutions Canada (OSFI) Vance Lockton Senior Analyst, Stakeholder Relations (PIPEDA), Office of the Privacy Commissioner of Canada Ian Wright Chief, Financial Crimes, Domestic Department of Finance Canada Industry Maureen Bell Vice President Compliance CIBC Elaine J. Cormack Senior Legal Counsel Scotiabank Michael Davenport Vice President and Associate General Counsel, Retail and Commercial Scotiabank Rita DiLuca Associate Vice President TD Cards TD Bank David Eason Chairman, Berkeley Payment Solutions and Chairman, Canadian Prepaid Providers Organization Chris Galloway Director, Compliance Central 1 Credit Union Richard Hogeveen Chief Compliance Officer, Canada Manulife Financial Katherine Johnson AVP, FACTA Corporate Compliance and Tax Services TD Bank Group Danielle Lin CCO Corporate Office Compliance TD Bank Dan Ruch Vice President and Chief Compliance Officer Equitable Bank Nancy Sullivan Head of Regulatory Compliance HSBC Bank Canada Alena Thouin General Counsel and Corporate Secretary Alterna Savings and Bank Nanci York VP – Program Controls and Oversight Solutions Scotiabank Legal/Advisors Koker Christensen Partner Fasken Martineau DuMoulin LLP Sharissa Ellyn Of Counsel Norton Rose Fulbright Canada LLP Carol Hansell Founding Partner Hansell LLP Denise M. Hintzke Global Tax Leader – Foreign Account Tax Compliance Deloitte Tax LLP Karen Irwin Managing Director Protiviti Mahmud Jamal Partner, Litigation Osler John Jason President Canadian Compliance Group Norton Rose Fulbright Canada LLP Dawn Jetten Partner Blakes Philip Palmer Philip Palmer Law Barry Sookman Partner McCarthy Tetrault John M. Staples Managing Partner Burt, Staples & Maner LLP Attend The Canadian Institute’s 21st edition of Regulatory Compliance for Financial Institutions, and learn how to exceed the expectations of regulators, guard against perennial and emerging threats, and insulate your organization against the negative business effects of compliance breaches. Benchmark your compliance programs and shape the way you do business with guidance from the regulators and industry-leading compliance, risk management, legal and audit professionals from the Big 5 Banks, small and medium institutions, credit unions and insurers. Topics this year include: • The Marcotte Decision: Where Do We Go from Here? Implications and Other Considerations • Canadian AML Updates, Challenges and Moving Forward • Roundtable with the Regulators: Hear Directly from Department of Finance Canada, OSFI and FINTRAC on the Most Pressing Challenges Facing Your Organization • Meeting Consumer Protection Requirements in Payments and Prepaid Cards • Cyber Threats, Privacy, Security and Evolving Data Breach Obligations • Improving FATCA, IGA and Global FATCA Compliance Programs and how to Prepare for the Common Reporting Standard Introduced by the OECD • Battling Expanding Regulatory Requirements: The Realities of Medium and Small FI’s • Payment Card Compliance and Emerging Trends in Mobile Payment • Setting-Up Your Global Social Media Compliance Program Refresh your skills and gain in-depth knowledge by attending one of our popular interactive workshops: A Compliance 101 B Privacy By Design Learn how to position your team to successfully meet all of your regulatory compliance challenges! Register Now! Secure your place at this event unique in Canada to learn from the experts and stay compliant with evolving and increasing regulatory demands by calling 1-877-927-7936, by fax at 1-877-927-1563 or online at www.RegulatoryComplianceforFIs.com
@CI_FICompliance #CIRegComp 3 INTERACTIVE WORKSHOPS WEDNESDAY, DECEMBER 9, 2015 9:00 a.m. – 12:00 p.m. (Registration Opens at 8:30 a.m.) A Compliance 101: Fundamentals of the Canadian Regulatory Framework Thissessionisdesignedtoprovideyouwithasolidunderstanding of the critical foundational areas for FI’s of all sizes. Workshop leaders will provide an overview of the essential regulatory compliance requirements for both banking and insurance professionals and will conclude with a detailed review of the key elements of compliance. Don’t miss this unique opportunity to refresh your knowledge of the fundamentals. Topics covered will include: • The federal and provincial jurisdictional divisions • Identifying the regulators and understanding their roles • Key influential industry associations and self-regulatory organizations • Key legislation: Bank Act,Trust & Loan Companies Act, Insurance Act, Proceeds of Crime Money Laundering and Terrorist Financing Act, Securities Act • Key Regulators Guidelines from OSFI, FINTRAC, FCAC, OPC • Understanding how critical international legislation fits: Dodd-Frank Wall Street Reform, Volker Rule, FATCA, SOPA, UK Anti-Bribery Act • Highlights of AML obligations and how they intersect with privacy, data management and advancing technologies • Governance Principals • Privacy Compliance 101 A light lunch will be served to those attending both Workshops A and B. 1:00 p.m. – 4:00 p.m. (Registration Opens at 12:30 p.m.) B Privacy By Design: Build Privacy into the Design, Operation and Management of Your Business Process or Design Specification Nancy Sullivan Head of Regulatory Compliance HSBC Bank Canada This workshop will provide delegates with an understanding of how to incorporate privacy into the design, operation and management of business processes. Don’t miss this opportunity to obtain proven strategies for managing privacy requirements and instilling privacy best practices into your corporate culture and compliance program. MAIN CONFERENCE DAY 1 THURSDAY, DECEMBER 10, 2015 7:45 Registration Opens and Refreshments are Served in the Exhibit Area 8:45 Opening Remarks Maureen Bell VP, Compliance CIBC Alena Thouin General Counsel & Corporate Secretary Alterna Savings and Bank 9:00 Canadian AML: Updates, Challenges and Moving Forward Jacqueline Shinfield Partner Blake, Cassels & Graydon LLP On July 4, 2015, the federal government released proposed amended regulations under the Proceeds of Crime and Terrorist Financing Act (PCMLTFA). Gain insight on these proposed critical amendments including: • New and more flexible requirements with respect to identity verification • Definitional changes to “signature card” that allow for true electronic signatures • New requirements with respect to politically exposed persons, including the inclusion of domestic PEP’S in the compliance regime • New requirements for risk assessments • Reduced standards for reporting suspicious transactions • New record keeping requirements in respect of taking “reasonable measures” to perform certain actions or obtain certain information 9:45 Roundtable with the Regulators Nicolas Burbidge Senior Director, AML & Compliance Division Office of the Superintendent of Financial Institutions (OSFI) Bernard Gagne Deputy Chief Compliance Officer, Compliance Relations and Support, Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) Ian Wright Chief, Financial Crimes, Domestic Department of Finance Canada Additional Panelists to be Confirmed Check www.regulatorycompliancforfis.com for updates. Hear directly from the regulators on the most pressing challenges facing your organization, including: • Updates on the amendments to the PCMLTFA and more…
@CI_FICompliance #CIRegComp4 • Understand how FINTRAC and OSFI plan to prioritize enforcement of the new PCMLTFA regulations • Clarifying examination strategies of OSFI and FINTRAC • Advice to institutions for dealing with the risk based approach • Financial Action Task Force (FATF) recommendations and updates Obtain answers directly from the regulators! Submit your anonymous questions in advance to regulatorycompliance@canadianinsitute.com 10:30 Networking Refreshment Break in the Exhibit Area 10:45 Industry Perspective on the New E-13 Guideline Moderator: Karen Irwin Managing Director Protiviti Panel: Chris Galloway Director, Compliance Central 1 Credit Union Richard Hogeveen Chief Compliance Officer, Canada Manulife Financial Danielle Lin CCO Corporate Office, Compliance TD Bank Guideline E-13, which deals with the management of enterprise- wide regulatory compliance risk was implemented on May 1, 2015. Assess whether your practices, including testing programs meet regulatory expectations and develop and refine your compliance action plan. In this session, industry leaders will provide guidance on practical implementation including how to integrate a testing program into your risk compliance model. 11:30 Understanding FCAC Priorities and Evaluating Your Compliance Performance Teresa Frick Director, Compliance and Enforcement Branch Financial Consumer Agency of Canada (FCAC) • Get insight on FCAC 2016 priorities • Reviewing FCAC common complaints, critical investigations and decisions and anticipated future trends • Lessons from recent FCAC compliance decisions • Overview of FCAC compliance and enforcement methods and tools • Clarifying obligations under the Code of Conduct for the Credit and Debit Card Industry PANEL 12:15 Networking Luncheon for Delegates and Speakers 1:30 Battling Expanding Regulatory Requirements: The Realities of Medium and Small FI’s Moderator: Alena Thouin General Counsel & Corporate Secretary Alterna Savings and Bank Panel: Scott Knight Managing Director Office of the Superintendent of Financial Institutions (OSFI) Dan Ruch Vice-President and Chief Compliance Officer Equitable Bank The evolving regulatory landscape poses new challenges for managing risk.This session offers practical guidance on how to build and run a scalable control program.Attendance is essential for small to medium size FIs working to implement the three lines of defense model, and establish a risk management and compliance culture. 2:15 Cyber Threats, Privacy, Security and Evolving Data Breach Obligations Vance Lockton Senior Analyst, Stakeholder Relations (PIPEDA) Office of the Privacy Commissioner of Canada Barry B. Sookman Partner McCarthy Tétrault LLP When it comes to transactions and consumer data, the financial industries are most vulnerable. Earlier this year, the New York Times reported that bank hackers stole an estimated $300 million from over 100 banks in 30 nations including Russia, Japan and the U.S., using malware which placed surveillance software in the computers of system administrators. Ensure that your FI is up to speed on best cyber security practices and gain clarity on new privacy and data breach legislation. This session will cover the following topics: • Salient aspects of the new Digital Privacy Act (Bill S-4) which became law on June 18, 2015, including the new mandatory Federal Security Breach Notification Regime, which imposes fines as high as $100,000.00 for each individual not notified of a security breach • Data protection: managing big data and meta-data integrity • Big data breach issues • Big data information governance risks: personal cloud and BYOD • Assessing the risks of a cyber-attack: likelihood and magnitude of resulting potential data breaches; media crises and legal liability; loss of business secrets; downtime hits on client service or productivity; and other potential damages • 2015 case law update PANEL To receive exclusive discounts, program updates and offers, join our email list at www.canadianinstitute.com/emaillist
@CI_FICompliance #CIRegComp 5 3:00 Networking Refreshment Break in the Exhibit Area 3:15 Setting-Up Your Global Social Media Compliance Program James D. Heeney Partner Robinson Heeney LLP Martin Searle Global Head, Social Media Compliance and Senior Manager, Privacy – Canada, TD Bank Group The rise in importance of social media usage has created opportunities and challenges for highly regulated FI’s. In this session get practical advice on how to establish a Social Media Compliance Program, including what to do in terms of key controls, training/ education, policy and procedures and the implementation of technology solutions. In addition, gain knowledge on how employment law, privacy and social media intersect.The following topics will be discussed: • Reviewing the key components needed in your policy • How to introduce and implement your policy to improve enforceability • Review of applicable case law on employee conduct, discipline and termination for conduct outside the workplace including with social media 4:00 Meeting Evolving Corporate Governance Obligations Moderator: Koker Christensen Partner Fasken Martineau DuMoulin LLP Panel: Carol Hansell Founder & Senior Partner Hansell LLP Alena Thouin General Counsel & Corporate Secretary Alterna Savings and Bank • Challenges to meeting OSFI’s corporate governance guidelines • Checklist to develop a sound enterprise-wide approach to help detect risks at an early stage • Tailoring risk management programs to accommodate effective risk appetite frameworks, risk oversight by the board and CRO, and third party review structures • Customize solutions to meet regulatory expectations that are best suited to your unique operational requirements • Weighing the benefits of retaining third party advisors to provide benchmarking assistance 4:45 Closing Remarks, Conference Adjourns 5:00 p.m. to 6:00 p.m. Cocktail Reception PANEL MAIN CONFERENCE DAY 2 FRIDAY, DECEMBER 11, 2015 7:45 Refreshments are Served in the Exhibit Area 8:15 Sunrise Session: Compliance with Canadian Derivatives Regulation — Preparing For What’s Next Paul Rand Counsel Blakes • Where things stand in Canada • The priorities of Canada’s Regulators • Compliance audits by the Regulators • Derivative dealer registration issues • Margin requirements for uncleared transactions and future clearing obligations • Impact of the Cooperative Capital Markets Regulatory System 9:00 Opening Remarks 9:15 The Marcotte Decision: Where Do We Go from Here? Implications and Other Considerations Moderator: C. Dawn Jetten Partner Blakes Panel: Andrea Cotroneo General Counsel and Corporate Secretary Canadian Bankers Association Michael Davenport Vice-President & Associate General Counsel Retail & Commercial Scotiabank Rita DiLuca Associate Vice-President TD Legal at TD Bank Group Mahmud Jamal Partner, Litigation Osler In the fall of 2014, the Supreme Court of Canada released its decisions in Bank of Montreal v. Marcotte and two related cases. Some would limit the decisions to the one provincial disclosure requirement at issue (Foreign currency conversion), while at the other extreme, some would read the decisions as having the potential to have a broader impact on federal banks of provincial laws. This decision has left many federal banks wondering: • How do these decisions impact federal banks? • What new rules might federal banks have to think about when creating new products or amending existing ones? • What effect does Marcotte have on specific products and on fees, disclosure obligations, and advertisements? Panel will delve into possible industry approaches and potential tips for federal banks when dealing with Marcotte and discuss what they say could lie ahead. PANEL
@CI_FICompliance #CIRegComp6 10:45 Networking Refreshment Break in the Exhibit Area 11:00 Staying Ahead of the Curve in Payment Card Compliance and Emerging Trends in Mobile Payment Elaine J. Cormack Senior Legal Counsel Scotiabank John Jason President, Canadian Compliance Group Norton Rose Fulbright Canada LLP In a digital world with evolving mobile payment delivery mechanisms such as apps, online banking services, payment card technologies, mobile wallets and changing capabilities for payment services providers, how do you apply regulations that were made for a paper world? Explore this topic as well as other essential payment topics such as: • Review of the current regulatory framework for the credit card and debit card industry in Canada including: - Critical updates on the voluntary Code of Conduct for the Credit and Debit Card Industry in Canada and strategies to incorporate this into your core compliance program - Payment Cards Networks Act - Review PCI security standards and security best practices - Understand what your responsibilities are and how to comply • Analyze what your compliance requirements are for debit and credit cards that reside on mobile devices • Risk assessments, compliance concerns and privacy obligations when addressing customers who want mobile payments and what the obligations are to the mobile payments structure • The future of mobile payments regulation in Canada 11:45 Meeting Consumer Protection Requirements in Payments and Prepaid Cards David Eason Chairman, Berkeley Payment Solutions and Chairman, Canadian Prepaid Providers Organization Sharissa Ellyn Of Counsel Norton Rose Fulbright Canada LLP • Understand the regulatory framework for prepaid cards to help you meet compliance and disclosure requirements for federally regulated institutions and provincially regulated institutions • Analyze which Canadian AML requirements apply to prepaid cards and effective compliance strategies • Guidelines to marketing open-looped cards and debit cards 12:30 Networking Luncheon for Delegates and Speakers 1:45 Improving FATCA, IGA and Global FATCA Compliance Programs and Preparing for the CRS (Common Reporting Standard Introduced by the OECD) Moderator: Denise M. Hintzke Global Tax Leader – Foreign Account,Tax Compliance Deloitte Tax LLP Panel: Katherine Johnson AVP, FATCA, Corporate Compliance & Tax Services TD Bank Group John M. Staples Managing Partner Burt, Staples & Maner LLP Nanci York VP, Program Controls & Oversight Solutions Scotiabank • Setting up effective compliance approaches across multinational groups • Preparing a responsible officer to sign off on FATCA • Strategies to minimize the risks associated with failure to comply • Dealing with reporting challenges • Ensuring that FATCA does not obscure the risk of failing to comply with “normal” U.S. withholding and reporting rules • What is the expected timeline for Canada to adopt the CRS? • Variances between FATCA and CRS: what can be leveraged or adjusted to get to the model? Will the CRS be costly? • New challenges expected with this regime in 2016 • Will there be any exemptions for lower thresholds such as for credit unions or medium and small FI’s? • How banks with global footprints should prepare and comply with early adopters in other jurisdictions 3:15 Networking Refreshment Break in the Exhibit Area 3:30 Updates on CASL Compliance and Enforcement Philip Palmer Philip Palmer Law Canada’sAnti-SpamLegislation(CASL)isinforceanditimposes penalties for sending commercial electronic communications without consent of the receipient including, a maximum fine of up to $10 million. In this session: • Discuss best practices for testing your CASL compliance program • Get an update of enforcement action and how the industry has responded • Explore key legal issues such as whether CASL applies extra-territorialy, how broad the law is and what “install or cause to be installed” means 4:15 Conference Wrap-up and Networking, Conference Concludes ©The Canadian Institute, 2015
YES! Register the following delegate for the 21st Annual REGULATORY COMPLIANCE for Financial Institutions CONTACT DETAILS PAYMENT DETAILS PLEASE ADD 13% HST TO ALL ORDERS 1 2 3 NAME POSITION ORGANIZATION ADDRESS CITY PROVINCE POSTAL CODE TELEPHONE FAX EMAIL TYPE OF BUSINESS NO. OF EMPLOYEES APPROVING MANAGER POSITION Please charge my VISA MasterCard AMEX DISCOVER CARD NUMBER EXP. DATE CARDHOLDER I have enclosed my cheque for $_______________ _including applicable taxes made payable to The Canadian Institute (GST No. 84221 1153 RT0001) FEE PER DELEGATE SAVE $200 Register & Pay by November 4, 2015 Register & Pay after November 4, 2015 PLEASE ADD 13% HST TO ALL ORDERS Conference (on site) $2195 $2395 Conference + 1 Workshop A or B $2790 $2990 ELITEPASS*: Conference + Both Workshops $3385 $3585 Live Webcast (Program Only) $1595 All program participants will receive an online link to access the program materials as part of their registration fee BINDER or Wire Transfer ($CAD) Please quote the name of the attendee(s) and the program code 311L16 as a reference. Beneficiary: The Canadian Institute Bank Name: HSBC / Account #: 055319-001 Address: 150 Bloor St, Suite M100, Toronto, ON Swift Code: HKBCCATT / Transit #: 10362 / Bank #: 016 *ELITEPASS is recommended for maximum learning and networking value. ADMINISTRATIVE DETAILS VENUE: Metro Toronto Convention Centre, North Building ADDRESS: 255 Front Street West TEL.: 416-585-8000 Hotel Reservations A limited number of rooms have been set aside at the InterContinental Toronto Centre for conference registrants. For reservations and special group rate, please go to https://resweb.passkey.com/go/ TheCanadianInstitute2015 or call 1-800-235-4670 and ask for the Canadian Inst. rate. The group rate starts at $229/night. Please book your room early as rooms are on a first-come, first-served basis. Registration Fee The fee includes the program, all program materials, coffee breaks and lunches. Payment Policy Payment must be received in full by the program date to ensure admittance. All discounts will be applied to the Program Only fee (excluding add-ons), cannot be combined with any other offer, and must be paid in full at time of order. Group discounts available to 3 or more individuals employed by the same organization, who register at the same time. For more information on group rates, please call 1-877-927-7936. Cancellation and Refund Policy You must notify us by email at least 48 hrs in advance if you wish to send a substitute participant. Delegates may not “share” a pass between multiple attendees without prior authorization. If you are unable to find a substitute, please notify The Canadian Institute in writing no later than 10 days prior to the program date and a credit voucher will be issued to you for the full amount paid. Credit Vouchers are valid for 1 year and are redeemable against any other program by The Canadian Institute. If you prefer, you may request a refund of fees paid less a 25% service charge. No credits or refunds will be given for cancellations received after 10 days prior to the program date. The Canadian Institute reserves the right to cancel any program it deems necessary and will, in such event, make a full refund of any registration fee, but will not be responsible for airfare, hotel or other costs incurred by registrants. No liability is assumed by The Canadian Institute for changes in program date, content, speakers or venue. Call 1-877-927-7936 for Group or Special Industry Pricing Options CALL, EMAIL, VISIT OUR WEBSITE, OR REGISTER BY MAILING/FAXING FORM BELOW: PROGRAM CODE: 311L16-TOR Sponsorship & Exhibition Opportunities Maximize your organization’s visibility in front of key decision-makers in your target market. For more information, contact Director of Business Development Daniel Gellman at 416-927-0718 ext. 7389, toll-free 1-877-927-0718 ext. 7389 or by email at d.gellman@CanadianInstitute.com Ethidex Inc. is the leading integrated Regulatory Compliance Management service provider for Canadian Financial Institutions. For 15 years, our team has offered an easy to use, web based solution for understanding and effectively demonstrating compliance with OSFI’s Revised Guideline E-13 on establishing an RCM Framework for controls documentation, risk assessment, testing and reporting. www.ethidex.com Ethidex TM Protiviti is a global consulting firm that helps companies solve problems in finance, technology, operations, governance, risk and internal audit. We have served 75% of the world’s largest banks through our network of more than 70 offices in over 20 countries. Protiviti is a wholly owned subsidiary of Robert Half International Inc. (NYSE: RHI). Founded in 1948, Robert Half International is a member of the S&P 500 index. www.protiviti.com/fs Securefact is a leading Canadian provider of Customer Identification and AML compliance solutions. The Company’s AttestanetTM self-serve onboarding solution leverages proprietary technology, user-friendly workflow and in-house regulatory expertise to automate time consuming manual on-boarding processes and customer supplied documentation, leading to better customer outcomes, higher customer satisfaction and a higher degree of regulatory compliance with FINTRAC and OSFI. www.securefact.com Thomson Reuters Risk Management Solutions bring together trusted regulatory, customer & pricing data, intuitive software and expert insight & services. We deliver market-leading risk management solutions for enterprise governance, risk and compliance management, policy management, global regulatory intelligence, financial crime, anti-bribery and corruption, supply chain risk, enhanced due diligence, training and e-learning, as well as corporate governance services. Thomson Reuters provides customer identification solutions for any market or organization — as well as capabilities for client on-boarding, screening software, enhanced due diligence and transaction monitoring. Thomson Reuters, 333 Bay Street, Toronto, ON M5H 2R2, Phone: +1 416.687.7500, Contact Sales: http://risk.thomsonreuters.com/contact-sales, Web: http://risk.thomsonreuters.com Sponsored By: This organization has been approved as an Accredited Provider of Professionalism Content by the Law Society of Upper Canada.This program is eligible for up to 13.0 Substantive Hours. Workshops are eligible for 3.0 Substantive Hours each. This program contains 0.0 Professionalism Hours. This program has been approved by the Law Society of Saskatchewan for 13.0 CPD hours. Workshops are eligible for 3.0 Substantive Hours each. The same number of hours may be applied toward your continuing legal education requirements in British Columbia. The Barreau du Quebec automatically recognizes the same number of hours for this training activity, the latter having been accredited by another Law Society subject to MCLE. Attendance at this program by members of the Law Society of Alberta may be submitted to the Law Society for Continuing Professional Development credits. EARN CPD HOURS
✓ ✓ ✓ ✓ ✓ Learn how to meet expectations of the regulators Gain proven risk management best practices Develop strong in-house compliance programs Understand best practice in effectiveness testing to protect against breaches Network with your peers and industry professionals 1175580 ATTENTION MAILROOM: 5 Easy Ways to Register PHONE: 1-877-927-7936 or 416-927-7936 EMAIL: CustomerService@ CanadianInstitute.com ONLINE: FAX: 1-877-927-1563 or 416-927-1563 MAIL: The Canadian Institute 1329 Bay Street Toronto, Ontario M5R 2C4 E December 10–11, 2015 | Metro Toronto Convention Centre, North Building REGULATORY COMPLIANCE for Financial Institutions The Canadian Institute’s Proven Risk Management for FI’s of All Sizes REGULATORY COMPLIANCE for Financial Institutions The Canadian Institute’s 21st Annual 21st ANNUAL Meet and exceed regulatory expectations! Learn best practices from the Big Five domestic banks and other leading financial institutions. TD Bank, CIBC, Norton Rose Fulbright Canada LLP, HSBC Bank Canada, Blake, Cassels & Graydon LLP, TD Cards, Protiviti, Scotiabank, McCarthy Tétrault LLP, Alterna Savings and Bank, Hansell LLP, Fasken Martineau DuMoulin LLP, Osler, Blakes, Burt, Staples & Maner LLP, Deloitte, Equitable Bank, Manulife Financial, Central 1 Credit Union Hear directly from Government, Regulators and Key Industry Associations: Department of Finance Canada Office of the Superintendent of Financial Institutions (OSFI) Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) Financial Consumer Agency of Canada (FCAC) Office of the Privacy Commissioner of Ontario (OPC) Canadian Bankers Association (CBA) Top Reasons to Attend December 10–11, 2015 | Metro Toronto Convention Centre, North Building

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RC Agenda_Aug26

  • 1.
    @CI_FICompliance #CIRegComp 1 REGISTERNOW | 1-877-927-7936 | @CI_FICompliance #CIRegComp December 10–11, 2015 | Metro Toronto Convention Centre, North Building REGULATORY COMPLIANCE for Financial Institutions The Canadian Institute’s Proven Risk Management for FI’s of All Sizes 21st ANNUAL Meet and exceed regulatory expectations! Learn best practices from the Big Five domestic banks and other leading financial institutions. TD Bank, CIBC, Norton Rose Fulbright Canada LLP, HSBC Bank Canada, Blake, Cassels & Graydon LLP, TD Cards, Protiviti, Scotiabank, McCarthy Tétrault LLP, Alterna Savings and Bank, Hansell LLP, Fasken Martineau DuMoulin LLP, Osler, Blakes, Burt, Staples & Maner LLP, Deloitte, Equitable Bank, Manulife Financial, Central 1 Credit Union Hear directly from Government, Regulators and Key Industry Associations: Department of Finance Canada Office of the Superintendent of Financial Institutions (OSFI) Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) Financial Consumer Agency of Canada (FCAC) Office of the Privacy Commissioner of Canada (OPC) Canadian Bankers Association (CBA) Ethidex TM Sponsored By: Maximize your learning experience by attending our practical and in-depth pre-conference workshops A Compliance 101: Fundamentals of the Canadian Regulatory Framework B Privacy By Design: Build Privacy into the Design, Operation and Management of Your Business Process or Design Specification EARN CPD HOURS
  • 2.
    YOUR COMPLETE GUIDETO REGULATORY COMPLIANCE FOR FI’S OF ALL SIZES SPEAKER FACULTY WHO YOU WILL MEET Compliance Officers Operations and Risk In-house Counsel Internal Auditors Accountants Risk Managers IT and Operations From Regulatory Authorities Domestic and Foreign Banks Credit Unions Life Insurance Companies Investment Banks and Advisors Securities Firms Asset-management Firms Financial Advisory Companies Operational Risk Management Law Firms Accounting Firms Consulting Firms Pension Funds Government/Regulators/Associations Nicolas Burbidge Senior Director, AML & Compliance Division, Office of the Superintendent of Financial Institutions (OSFI) Andrea Cotroneo General Counsel and Corporate Secretary, Canadian Bankers Association Teresa Frick Director, Compliance and Enforcement Branch, Financial Consumer Agency of Canada (FCAC) Bernard Gagné Deputy Chief Compliance Officer Compliance Relations and Support Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) Scott Knight Managing Director Office of the Superintendent of Financial Institutions Canada (OSFI) Vance Lockton Senior Analyst, Stakeholder Relations (PIPEDA), Office of the Privacy Commissioner of Canada Ian Wright Chief, Financial Crimes, Domestic Department of Finance Canada Industry Maureen Bell Vice President Compliance CIBC Elaine J. Cormack Senior Legal Counsel Scotiabank Michael Davenport Vice President and Associate General Counsel, Retail and Commercial Scotiabank Rita DiLuca Associate Vice President TD Cards TD Bank David Eason Chairman, Berkeley Payment Solutions and Chairman, Canadian Prepaid Providers Organization Chris Galloway Director, Compliance Central 1 Credit Union Richard Hogeveen Chief Compliance Officer, Canada Manulife Financial Katherine Johnson AVP, FACTA Corporate Compliance and Tax Services TD Bank Group Danielle Lin CCO Corporate Office Compliance TD Bank Dan Ruch Vice President and Chief Compliance Officer Equitable Bank Nancy Sullivan Head of Regulatory Compliance HSBC Bank Canada Alena Thouin General Counsel and Corporate Secretary Alterna Savings and Bank Nanci York VP – Program Controls and Oversight Solutions Scotiabank Legal/Advisors Koker Christensen Partner Fasken Martineau DuMoulin LLP Sharissa Ellyn Of Counsel Norton Rose Fulbright Canada LLP Carol Hansell Founding Partner Hansell LLP Denise M. Hintzke Global Tax Leader – Foreign Account Tax Compliance Deloitte Tax LLP Karen Irwin Managing Director Protiviti Mahmud Jamal Partner, Litigation Osler John Jason President Canadian Compliance Group Norton Rose Fulbright Canada LLP Dawn Jetten Partner Blakes Philip Palmer Philip Palmer Law Barry Sookman Partner McCarthy Tetrault John M. Staples Managing Partner Burt, Staples & Maner LLP Attend The Canadian Institute’s 21st edition of Regulatory Compliance for Financial Institutions, and learn how to exceed the expectations of regulators, guard against perennial and emerging threats, and insulate your organization against the negative business effects of compliance breaches. Benchmark your compliance programs and shape the way you do business with guidance from the regulators and industry-leading compliance, risk management, legal and audit professionals from the Big 5 Banks, small and medium institutions, credit unions and insurers. Topics this year include: • The Marcotte Decision: Where Do We Go from Here? Implications and Other Considerations • Canadian AML Updates, Challenges and Moving Forward • Roundtable with the Regulators: Hear Directly from Department of Finance Canada, OSFI and FINTRAC on the Most Pressing Challenges Facing Your Organization • Meeting Consumer Protection Requirements in Payments and Prepaid Cards • Cyber Threats, Privacy, Security and Evolving Data Breach Obligations • Improving FATCA, IGA and Global FATCA Compliance Programs and how to Prepare for the Common Reporting Standard Introduced by the OECD • Battling Expanding Regulatory Requirements: The Realities of Medium and Small FI’s • Payment Card Compliance and Emerging Trends in Mobile Payment • Setting-Up Your Global Social Media Compliance Program Refresh your skills and gain in-depth knowledge by attending one of our popular interactive workshops: A Compliance 101 B Privacy By Design Learn how to position your team to successfully meet all of your regulatory compliance challenges! Register Now! Secure your place at this event unique in Canada to learn from the experts and stay compliant with evolving and increasing regulatory demands by calling 1-877-927-7936, by fax at 1-877-927-1563 or online at www.RegulatoryComplianceforFIs.com
  • 3.
    @CI_FICompliance #CIRegComp 3 INTERACTIVEWORKSHOPS WEDNESDAY, DECEMBER 9, 2015 9:00 a.m. – 12:00 p.m. (Registration Opens at 8:30 a.m.) A Compliance 101: Fundamentals of the Canadian Regulatory Framework Thissessionisdesignedtoprovideyouwithasolidunderstanding of the critical foundational areas for FI’s of all sizes. Workshop leaders will provide an overview of the essential regulatory compliance requirements for both banking and insurance professionals and will conclude with a detailed review of the key elements of compliance. Don’t miss this unique opportunity to refresh your knowledge of the fundamentals. Topics covered will include: • The federal and provincial jurisdictional divisions • Identifying the regulators and understanding their roles • Key influential industry associations and self-regulatory organizations • Key legislation: Bank Act,Trust & Loan Companies Act, Insurance Act, Proceeds of Crime Money Laundering and Terrorist Financing Act, Securities Act • Key Regulators Guidelines from OSFI, FINTRAC, FCAC, OPC • Understanding how critical international legislation fits: Dodd-Frank Wall Street Reform, Volker Rule, FATCA, SOPA, UK Anti-Bribery Act • Highlights of AML obligations and how they intersect with privacy, data management and advancing technologies • Governance Principals • Privacy Compliance 101 A light lunch will be served to those attending both Workshops A and B. 1:00 p.m. – 4:00 p.m. (Registration Opens at 12:30 p.m.) B Privacy By Design: Build Privacy into the Design, Operation and Management of Your Business Process or Design Specification Nancy Sullivan Head of Regulatory Compliance HSBC Bank Canada This workshop will provide delegates with an understanding of how to incorporate privacy into the design, operation and management of business processes. Don’t miss this opportunity to obtain proven strategies for managing privacy requirements and instilling privacy best practices into your corporate culture and compliance program. MAIN CONFERENCE DAY 1 THURSDAY, DECEMBER 10, 2015 7:45 Registration Opens and Refreshments are Served in the Exhibit Area 8:45 Opening Remarks Maureen Bell VP, Compliance CIBC Alena Thouin General Counsel & Corporate Secretary Alterna Savings and Bank 9:00 Canadian AML: Updates, Challenges and Moving Forward Jacqueline Shinfield Partner Blake, Cassels & Graydon LLP On July 4, 2015, the federal government released proposed amended regulations under the Proceeds of Crime and Terrorist Financing Act (PCMLTFA). Gain insight on these proposed critical amendments including: • New and more flexible requirements with respect to identity verification • Definitional changes to “signature card” that allow for true electronic signatures • New requirements with respect to politically exposed persons, including the inclusion of domestic PEP’S in the compliance regime • New requirements for risk assessments • Reduced standards for reporting suspicious transactions • New record keeping requirements in respect of taking “reasonable measures” to perform certain actions or obtain certain information 9:45 Roundtable with the Regulators Nicolas Burbidge Senior Director, AML & Compliance Division Office of the Superintendent of Financial Institutions (OSFI) Bernard Gagne Deputy Chief Compliance Officer, Compliance Relations and Support, Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) Ian Wright Chief, Financial Crimes, Domestic Department of Finance Canada Additional Panelists to be Confirmed Check www.regulatorycompliancforfis.com for updates. Hear directly from the regulators on the most pressing challenges facing your organization, including: • Updates on the amendments to the PCMLTFA and more…
  • 4.
    @CI_FICompliance #CIRegComp4 • Understandhow FINTRAC and OSFI plan to prioritize enforcement of the new PCMLTFA regulations • Clarifying examination strategies of OSFI and FINTRAC • Advice to institutions for dealing with the risk based approach • Financial Action Task Force (FATF) recommendations and updates Obtain answers directly from the regulators! Submit your anonymous questions in advance to regulatorycompliance@canadianinsitute.com 10:30 Networking Refreshment Break in the Exhibit Area 10:45 Industry Perspective on the New E-13 Guideline Moderator: Karen Irwin Managing Director Protiviti Panel: Chris Galloway Director, Compliance Central 1 Credit Union Richard Hogeveen Chief Compliance Officer, Canada Manulife Financial Danielle Lin CCO Corporate Office, Compliance TD Bank Guideline E-13, which deals with the management of enterprise- wide regulatory compliance risk was implemented on May 1, 2015. Assess whether your practices, including testing programs meet regulatory expectations and develop and refine your compliance action plan. In this session, industry leaders will provide guidance on practical implementation including how to integrate a testing program into your risk compliance model. 11:30 Understanding FCAC Priorities and Evaluating Your Compliance Performance Teresa Frick Director, Compliance and Enforcement Branch Financial Consumer Agency of Canada (FCAC) • Get insight on FCAC 2016 priorities • Reviewing FCAC common complaints, critical investigations and decisions and anticipated future trends • Lessons from recent FCAC compliance decisions • Overview of FCAC compliance and enforcement methods and tools • Clarifying obligations under the Code of Conduct for the Credit and Debit Card Industry PANEL 12:15 Networking Luncheon for Delegates and Speakers 1:30 Battling Expanding Regulatory Requirements: The Realities of Medium and Small FI’s Moderator: Alena Thouin General Counsel & Corporate Secretary Alterna Savings and Bank Panel: Scott Knight Managing Director Office of the Superintendent of Financial Institutions (OSFI) Dan Ruch Vice-President and Chief Compliance Officer Equitable Bank The evolving regulatory landscape poses new challenges for managing risk.This session offers practical guidance on how to build and run a scalable control program.Attendance is essential for small to medium size FIs working to implement the three lines of defense model, and establish a risk management and compliance culture. 2:15 Cyber Threats, Privacy, Security and Evolving Data Breach Obligations Vance Lockton Senior Analyst, Stakeholder Relations (PIPEDA) Office of the Privacy Commissioner of Canada Barry B. Sookman Partner McCarthy Tétrault LLP When it comes to transactions and consumer data, the financial industries are most vulnerable. Earlier this year, the New York Times reported that bank hackers stole an estimated $300 million from over 100 banks in 30 nations including Russia, Japan and the U.S., using malware which placed surveillance software in the computers of system administrators. Ensure that your FI is up to speed on best cyber security practices and gain clarity on new privacy and data breach legislation. This session will cover the following topics: • Salient aspects of the new Digital Privacy Act (Bill S-4) which became law on June 18, 2015, including the new mandatory Federal Security Breach Notification Regime, which imposes fines as high as $100,000.00 for each individual not notified of a security breach • Data protection: managing big data and meta-data integrity • Big data breach issues • Big data information governance risks: personal cloud and BYOD • Assessing the risks of a cyber-attack: likelihood and magnitude of resulting potential data breaches; media crises and legal liability; loss of business secrets; downtime hits on client service or productivity; and other potential damages • 2015 case law update PANEL To receive exclusive discounts, program updates and offers, join our email list at www.canadianinstitute.com/emaillist
  • 5.
    @CI_FICompliance #CIRegComp 5 3:00Networking Refreshment Break in the Exhibit Area 3:15 Setting-Up Your Global Social Media Compliance Program James D. Heeney Partner Robinson Heeney LLP Martin Searle Global Head, Social Media Compliance and Senior Manager, Privacy – Canada, TD Bank Group The rise in importance of social media usage has created opportunities and challenges for highly regulated FI’s. In this session get practical advice on how to establish a Social Media Compliance Program, including what to do in terms of key controls, training/ education, policy and procedures and the implementation of technology solutions. In addition, gain knowledge on how employment law, privacy and social media intersect.The following topics will be discussed: • Reviewing the key components needed in your policy • How to introduce and implement your policy to improve enforceability • Review of applicable case law on employee conduct, discipline and termination for conduct outside the workplace including with social media 4:00 Meeting Evolving Corporate Governance Obligations Moderator: Koker Christensen Partner Fasken Martineau DuMoulin LLP Panel: Carol Hansell Founder & Senior Partner Hansell LLP Alena Thouin General Counsel & Corporate Secretary Alterna Savings and Bank • Challenges to meeting OSFI’s corporate governance guidelines • Checklist to develop a sound enterprise-wide approach to help detect risks at an early stage • Tailoring risk management programs to accommodate effective risk appetite frameworks, risk oversight by the board and CRO, and third party review structures • Customize solutions to meet regulatory expectations that are best suited to your unique operational requirements • Weighing the benefits of retaining third party advisors to provide benchmarking assistance 4:45 Closing Remarks, Conference Adjourns 5:00 p.m. to 6:00 p.m. Cocktail Reception PANEL MAIN CONFERENCE DAY 2 FRIDAY, DECEMBER 11, 2015 7:45 Refreshments are Served in the Exhibit Area 8:15 Sunrise Session: Compliance with Canadian Derivatives Regulation — Preparing For What’s Next Paul Rand Counsel Blakes • Where things stand in Canada • The priorities of Canada’s Regulators • Compliance audits by the Regulators • Derivative dealer registration issues • Margin requirements for uncleared transactions and future clearing obligations • Impact of the Cooperative Capital Markets Regulatory System 9:00 Opening Remarks 9:15 The Marcotte Decision: Where Do We Go from Here? Implications and Other Considerations Moderator: C. Dawn Jetten Partner Blakes Panel: Andrea Cotroneo General Counsel and Corporate Secretary Canadian Bankers Association Michael Davenport Vice-President & Associate General Counsel Retail & Commercial Scotiabank Rita DiLuca Associate Vice-President TD Legal at TD Bank Group Mahmud Jamal Partner, Litigation Osler In the fall of 2014, the Supreme Court of Canada released its decisions in Bank of Montreal v. Marcotte and two related cases. Some would limit the decisions to the one provincial disclosure requirement at issue (Foreign currency conversion), while at the other extreme, some would read the decisions as having the potential to have a broader impact on federal banks of provincial laws. This decision has left many federal banks wondering: • How do these decisions impact federal banks? • What new rules might federal banks have to think about when creating new products or amending existing ones? • What effect does Marcotte have on specific products and on fees, disclosure obligations, and advertisements? Panel will delve into possible industry approaches and potential tips for federal banks when dealing with Marcotte and discuss what they say could lie ahead. PANEL
  • 6.
    @CI_FICompliance #CIRegComp6 10:45 NetworkingRefreshment Break in the Exhibit Area 11:00 Staying Ahead of the Curve in Payment Card Compliance and Emerging Trends in Mobile Payment Elaine J. Cormack Senior Legal Counsel Scotiabank John Jason President, Canadian Compliance Group Norton Rose Fulbright Canada LLP In a digital world with evolving mobile payment delivery mechanisms such as apps, online banking services, payment card technologies, mobile wallets and changing capabilities for payment services providers, how do you apply regulations that were made for a paper world? Explore this topic as well as other essential payment topics such as: • Review of the current regulatory framework for the credit card and debit card industry in Canada including: - Critical updates on the voluntary Code of Conduct for the Credit and Debit Card Industry in Canada and strategies to incorporate this into your core compliance program - Payment Cards Networks Act - Review PCI security standards and security best practices - Understand what your responsibilities are and how to comply • Analyze what your compliance requirements are for debit and credit cards that reside on mobile devices • Risk assessments, compliance concerns and privacy obligations when addressing customers who want mobile payments and what the obligations are to the mobile payments structure • The future of mobile payments regulation in Canada 11:45 Meeting Consumer Protection Requirements in Payments and Prepaid Cards David Eason Chairman, Berkeley Payment Solutions and Chairman, Canadian Prepaid Providers Organization Sharissa Ellyn Of Counsel Norton Rose Fulbright Canada LLP • Understand the regulatory framework for prepaid cards to help you meet compliance and disclosure requirements for federally regulated institutions and provincially regulated institutions • Analyze which Canadian AML requirements apply to prepaid cards and effective compliance strategies • Guidelines to marketing open-looped cards and debit cards 12:30 Networking Luncheon for Delegates and Speakers 1:45 Improving FATCA, IGA and Global FATCA Compliance Programs and Preparing for the CRS (Common Reporting Standard Introduced by the OECD) Moderator: Denise M. Hintzke Global Tax Leader – Foreign Account,Tax Compliance Deloitte Tax LLP Panel: Katherine Johnson AVP, FATCA, Corporate Compliance & Tax Services TD Bank Group John M. Staples Managing Partner Burt, Staples & Maner LLP Nanci York VP, Program Controls & Oversight Solutions Scotiabank • Setting up effective compliance approaches across multinational groups • Preparing a responsible officer to sign off on FATCA • Strategies to minimize the risks associated with failure to comply • Dealing with reporting challenges • Ensuring that FATCA does not obscure the risk of failing to comply with “normal” U.S. withholding and reporting rules • What is the expected timeline for Canada to adopt the CRS? • Variances between FATCA and CRS: what can be leveraged or adjusted to get to the model? Will the CRS be costly? • New challenges expected with this regime in 2016 • Will there be any exemptions for lower thresholds such as for credit unions or medium and small FI’s? • How banks with global footprints should prepare and comply with early adopters in other jurisdictions 3:15 Networking Refreshment Break in the Exhibit Area 3:30 Updates on CASL Compliance and Enforcement Philip Palmer Philip Palmer Law Canada’sAnti-SpamLegislation(CASL)isinforceanditimposes penalties for sending commercial electronic communications without consent of the receipient including, a maximum fine of up to $10 million. In this session: • Discuss best practices for testing your CASL compliance program • Get an update of enforcement action and how the industry has responded • Explore key legal issues such as whether CASL applies extra-territorialy, how broad the law is and what “install or cause to be installed” means 4:15 Conference Wrap-up and Networking, Conference Concludes ©The Canadian Institute, 2015
  • 7.
    YES! Register thefollowing delegate for the 21st Annual REGULATORY COMPLIANCE for Financial Institutions CONTACT DETAILS PAYMENT DETAILS PLEASE ADD 13% HST TO ALL ORDERS 1 2 3 NAME POSITION ORGANIZATION ADDRESS CITY PROVINCE POSTAL CODE TELEPHONE FAX EMAIL TYPE OF BUSINESS NO. OF EMPLOYEES APPROVING MANAGER POSITION Please charge my VISA MasterCard AMEX DISCOVER CARD NUMBER EXP. DATE CARDHOLDER I have enclosed my cheque for $_______________ _including applicable taxes made payable to The Canadian Institute (GST No. 84221 1153 RT0001) FEE PER DELEGATE SAVE $200 Register & Pay by November 4, 2015 Register & Pay after November 4, 2015 PLEASE ADD 13% HST TO ALL ORDERS Conference (on site) $2195 $2395 Conference + 1 Workshop A or B $2790 $2990 ELITEPASS*: Conference + Both Workshops $3385 $3585 Live Webcast (Program Only) $1595 All program participants will receive an online link to access the program materials as part of their registration fee BINDER or Wire Transfer ($CAD) Please quote the name of the attendee(s) and the program code 311L16 as a reference. Beneficiary: The Canadian Institute Bank Name: HSBC / Account #: 055319-001 Address: 150 Bloor St, Suite M100, Toronto, ON Swift Code: HKBCCATT / Transit #: 10362 / Bank #: 016 *ELITEPASS is recommended for maximum learning and networking value. ADMINISTRATIVE DETAILS VENUE: Metro Toronto Convention Centre, North Building ADDRESS: 255 Front Street West TEL.: 416-585-8000 Hotel Reservations A limited number of rooms have been set aside at the InterContinental Toronto Centre for conference registrants. For reservations and special group rate, please go to https://resweb.passkey.com/go/ TheCanadianInstitute2015 or call 1-800-235-4670 and ask for the Canadian Inst. rate. The group rate starts at $229/night. Please book your room early as rooms are on a first-come, first-served basis. Registration Fee The fee includes the program, all program materials, coffee breaks and lunches. Payment Policy Payment must be received in full by the program date to ensure admittance. All discounts will be applied to the Program Only fee (excluding add-ons), cannot be combined with any other offer, and must be paid in full at time of order. Group discounts available to 3 or more individuals employed by the same organization, who register at the same time. For more information on group rates, please call 1-877-927-7936. Cancellation and Refund Policy You must notify us by email at least 48 hrs in advance if you wish to send a substitute participant. Delegates may not “share” a pass between multiple attendees without prior authorization. If you are unable to find a substitute, please notify The Canadian Institute in writing no later than 10 days prior to the program date and a credit voucher will be issued to you for the full amount paid. Credit Vouchers are valid for 1 year and are redeemable against any other program by The Canadian Institute. If you prefer, you may request a refund of fees paid less a 25% service charge. No credits or refunds will be given for cancellations received after 10 days prior to the program date. The Canadian Institute reserves the right to cancel any program it deems necessary and will, in such event, make a full refund of any registration fee, but will not be responsible for airfare, hotel or other costs incurred by registrants. No liability is assumed by The Canadian Institute for changes in program date, content, speakers or venue. Call 1-877-927-7936 for Group or Special Industry Pricing Options CALL, EMAIL, VISIT OUR WEBSITE, OR REGISTER BY MAILING/FAXING FORM BELOW: PROGRAM CODE: 311L16-TOR Sponsorship & Exhibition Opportunities Maximize your organization’s visibility in front of key decision-makers in your target market. For more information, contact Director of Business Development Daniel Gellman at 416-927-0718 ext. 7389, toll-free 1-877-927-0718 ext. 7389 or by email at d.gellman@CanadianInstitute.com Ethidex Inc. is the leading integrated Regulatory Compliance Management service provider for Canadian Financial Institutions. For 15 years, our team has offered an easy to use, web based solution for understanding and effectively demonstrating compliance with OSFI’s Revised Guideline E-13 on establishing an RCM Framework for controls documentation, risk assessment, testing and reporting. www.ethidex.com Ethidex TM Protiviti is a global consulting firm that helps companies solve problems in finance, technology, operations, governance, risk and internal audit. We have served 75% of the world’s largest banks through our network of more than 70 offices in over 20 countries. Protiviti is a wholly owned subsidiary of Robert Half International Inc. (NYSE: RHI). Founded in 1948, Robert Half International is a member of the S&P 500 index. www.protiviti.com/fs Securefact is a leading Canadian provider of Customer Identification and AML compliance solutions. The Company’s AttestanetTM self-serve onboarding solution leverages proprietary technology, user-friendly workflow and in-house regulatory expertise to automate time consuming manual on-boarding processes and customer supplied documentation, leading to better customer outcomes, higher customer satisfaction and a higher degree of regulatory compliance with FINTRAC and OSFI. www.securefact.com Thomson Reuters Risk Management Solutions bring together trusted regulatory, customer & pricing data, intuitive software and expert insight & services. We deliver market-leading risk management solutions for enterprise governance, risk and compliance management, policy management, global regulatory intelligence, financial crime, anti-bribery and corruption, supply chain risk, enhanced due diligence, training and e-learning, as well as corporate governance services. Thomson Reuters provides customer identification solutions for any market or organization — as well as capabilities for client on-boarding, screening software, enhanced due diligence and transaction monitoring. Thomson Reuters, 333 Bay Street, Toronto, ON M5H 2R2, Phone: +1 416.687.7500, Contact Sales: http://risk.thomsonreuters.com/contact-sales, Web: http://risk.thomsonreuters.com Sponsored By: This organization has been approved as an Accredited Provider of Professionalism Content by the Law Society of Upper Canada.This program is eligible for up to 13.0 Substantive Hours. Workshops are eligible for 3.0 Substantive Hours each. This program contains 0.0 Professionalism Hours. This program has been approved by the Law Society of Saskatchewan for 13.0 CPD hours. Workshops are eligible for 3.0 Substantive Hours each. The same number of hours may be applied toward your continuing legal education requirements in British Columbia. The Barreau du Quebec automatically recognizes the same number of hours for this training activity, the latter having been accredited by another Law Society subject to MCLE. Attendance at this program by members of the Law Society of Alberta may be submitted to the Law Society for Continuing Professional Development credits. EARN CPD HOURS
  • 8.
    ✓ ✓ ✓ ✓ ✓ Learn how tomeet expectations of the regulators Gain proven risk management best practices Develop strong in-house compliance programs Understand best practice in effectiveness testing to protect against breaches Network with your peers and industry professionals 1175580 ATTENTION MAILROOM: 5 Easy Ways to Register PHONE: 1-877-927-7936 or 416-927-7936 EMAIL: CustomerService@ CanadianInstitute.com ONLINE: FAX: 1-877-927-1563 or 416-927-1563 MAIL: The Canadian Institute 1329 Bay Street Toronto, Ontario M5R 2C4 E December 10–11, 2015 | Metro Toronto Convention Centre, North Building REGULATORY COMPLIANCE for Financial Institutions The Canadian Institute’s Proven Risk Management for FI’s of All Sizes REGULATORY COMPLIANCE for Financial Institutions The Canadian Institute’s 21st Annual 21st ANNUAL Meet and exceed regulatory expectations! Learn best practices from the Big Five domestic banks and other leading financial institutions. TD Bank, CIBC, Norton Rose Fulbright Canada LLP, HSBC Bank Canada, Blake, Cassels & Graydon LLP, TD Cards, Protiviti, Scotiabank, McCarthy Tétrault LLP, Alterna Savings and Bank, Hansell LLP, Fasken Martineau DuMoulin LLP, Osler, Blakes, Burt, Staples & Maner LLP, Deloitte, Equitable Bank, Manulife Financial, Central 1 Credit Union Hear directly from Government, Regulators and Key Industry Associations: Department of Finance Canada Office of the Superintendent of Financial Institutions (OSFI) Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) Financial Consumer Agency of Canada (FCAC) Office of the Privacy Commissioner of Ontario (OPC) Canadian Bankers Association (CBA) Top Reasons to Attend December 10–11, 2015 | Metro Toronto Convention Centre, North Building