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
Faculty
Program Chairs
Jasmin Jabri
Compliance Executive
Jacqueline Shinfield
Partner, Blake, Cassels & Graydon LLP
Instructors
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.
Agenda
View the program brochure and agenda to see what you’ll learn from leading experts.
Register
Recorded: Jan 28, 2021
$895 + HST
Printable registration form
If a downloadable form is required, please contact osgoodepd@osgoode.yorku.ca.
“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.
| Substantive | 5h 45m |
|---|---|
| Professionalism | 1h |
| Total | 6h 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.
Deeper Learning Opportunities
LLMs
Are you a law graduate or an executive/senior professional with at least 5 years of specialized experience? Consider a full-time or part-time LLM degree.
Part-time LLMs Full-time LLMsThe Osgoode Certificate
Stay competitive with deep dives into the most critical issues in law. Taught by leading experts and designed for flexible learning, choose from multi-day programs or take courses at your own pace to build towards a certificate.
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Client and Technical Support
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Registration questions
Technical support
Online Technical Requirements
To ensure you do not encounter any issues that will impact or limit your learning experience, please review the following information.