Program Chair(s)

Jasmin Jabri

Compliance Executive

Jacqueline Shinfield

Partner, Blake, Cassels & Graydon LLP

The speed of change is rapid and the demands are increasing. You need to be ready.

Canadian financial institutions, including banks, insurance companies and securities firms, face an increasingly complex regulatory web. Regulators are placing increased pressure on financial institutions to assess, monitor and mitigate regulatory and operational risks. In addition to staying compliant, today’s financial institutions need to keep up with new regulations, deal with new issues – including those created by social media and emerging technologies – and manage the human resources and technological requirements to get the job done. Get the tools you need to identify, mitigate and control risks and to build a good compliance program within a Canadian financial institution, including expert guidance on compliance policies and procedures.

Developed by a select group of leading industry and legal experts, the Osgoode Fundamentals of Regulatory Compliance & Legal Risk Management for Financial Institutions is a unique, stand-alone compliance fundamentals program, which also serves as Module 1 of the Osgoode Certificate in Regulatory Compliance & Legal Risk Management for Financial Institutions, an intensive 5-module Certificate program. Both programs also include access to five online primers in compliance fundamentals.

In this information-packed one-day compliance fundamentals program, you’ll gain an understanding of the key compliance and risk management issues facing financial institutions in Canada as well as the essential components of a successful compliance program, how to categorize and control risk, and real-world best practices and strategies to help shield your organization from costly and damaging violations.

Registration includes 120-day unlimited, online access to the recorded program.

What You’ll Learn

Why is Compliance a Priority in Regulated Industries?

Navigating the Regulatory Landscape: Perspectives for Banking, Capital Markets and Insurance

Nuts & Bolts of a Successful Compliance Program

Risk Management Fundamentals: Types of Risk & Qualitative Control

Fireside Chat: Navigating the Interactions Between Compliance, Risk & Legal

Who Should Attend

Compliance officers and compliance professionals at financial institutions

Privacy officers and professionals

Operations and risk managers

In-house counsel at financial institutions

Internal auditors

Lawyers in private practice who advise financial institutions

Portfolio/fund managers and securities dealers

Anyone interested in a career or role in compliance


Program Chairs

Jasmin Jabri

Compliance Executive

Jacqueline Shinfield

Partner, Blake, Cassels & Graydon LLP


Online Primers

These primers focus on core concepts for those who may be newer to compliance or those seeking a succinct refresher. View online anytime.


 View the program brochure and agenda to see what you’ll learn from leading experts.


Recorded: Jan 28, 2021

$895 + HST

Printable registration form

If a downloadable form is required, please contact

“Is financial assistance or funding available?”

As law evolves, we know how important it is to stay up to date. We also understand the financial implications of continuously upgrading your professional skills and knowledge. For more information on available options, including Job Grants, OSAP, please visit:

CPD and Accreditation

OsgoodePD is an accredited provider with the LSO, the Law Society of BC and NY CLE Board. Select your location to view the eligible hours you may claim.

CPD Hours
Contact us for inquiries about other provinces.
Substantive5h 45m
Professionalism 1h
Total6h 45m
Substantive Hours (Workshop only)4h 30m
Professionalism Hours (Workshop only)10 m
Total (Workshop)4h 40m

Are you reporting hours from a previous date?

View our CPD & Accreditation page to see previously calculated hours for this course.

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Regulatory Compliance and Legal Risk Management for Financial Institutions

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Frequently Asked Questions

Client and Technical Support

Have questions? Get advice in person, by email or over the phone.

Online Technical Requirements

To ensure you do not encounter any issues that will impact or limit your learning experience, please review the following information.