Program Chairs
Julie Ouellon-Wente
Chief Compliance Officer and Managing Director, Private Wealth, BMO Financial Group
Andrew Morris
Founder & Principal, AlphaDelta Advisory Group
When a regulator engages – what you do next matters.
Prepare for regulatory reviews, exams and inquiries – and avoid common pitfalls that can complicate the process.
At this one-of-a-kind, scenario-driven program, you will learn to manage internal investigations, respond effectively to RFIs and exams and navigate regulator interactions with clarity, discipline and confidence.
When engaging with regulators, timelines and expectations can shift quickly. What begins as a routine review may become more complex depending on how it is approached – who is involved, how information is gathered, what is documented, and how responses are framed. While much guidance focuses on frameworks, execution is what shapes outcomes.
At this one-of-a-kind, scenario-driven program, you will focus on what happens in practice: RFIs, investigations and exams as they unfold, and how to navigate challenges along the way. Through scenarios and practical exercises, you will strengthen the judgment and coordination needed to support effective regulatory engagement – and be ready for what comes next.
Can’t Make the Date? Registration includes 120-day unlimited, online access to the recorded program.
What You’ll Learn
Insight into how regulatory matters evolve in practice – and the moments where escalation takes hold
Techniques used in well-run internal investigations, from disciplined scoping through to credible fact development
Practical approaches to conducting employee interviews while managing competing legal, compliance and operational risks
Strategies for determining what to produce, what to hold back and how documentation and privilege shape outcomes
A structured approach to responding to RFIs as scope expands and timelines tighten
An inside view of how reviews and exams unfold – and why breakdowns tend to occur at predictable points
Analytical perspective on how regulators assess responses and what drives further scrutiny or follow-up
Methods for maintaining alignment across internal stakeholders under pressure
Applied experience working through the full arc of an exam or investigation, including shifting scope and escalation signals
Practical techniques for assembling regulator-facing materials, managing meetings and interviews and developing remediation that stands up to re-examination
PLUS! In the optional Day 2 workshop, you will build regulator-ready materials, rehearse interactions, and pressure-test your response through realistic, scenario-based exercises with personalized feedback.
Who Should Attend
Compliance, privacy and risk professionals (coordinators, analysts, advisors, managers and directors)
Financial services operations and operational risk professionals
In-house counsel, executives and legal leaders (corporate counsel, CLO, VP/SVP Legal)
Lawyers advising financial institutions
Internal audit and audit management professionals
Portfolio, fund and investment managers and advisors
Governance, regulatory affairs and regulatory relations professionals
Corporate affairs, controls and control management professionals
Credit, risk, policy and business analysts
Faculty
Program Chairs
Andrew Morris
Founder & Principal, AlphaDelta Advisory Group
Julie Ouellon-Wente
Chief Compliance Officer and Managing Director, Private Wealth, BMO Financial Group
Advisory Board
Kara Beitel
Associate General Counsel & Head, Corporate Investigations (Canada & International), BMO Financial Group
Mary Joyce (MJ) Empensando
Compliance Executive
Jasmin Jabri
Compliance Executive
Jackie Sanz
Managing Director, Legal, Risk and Compliance: Canada Lead
Dr. Amber D. Scott
Co-Founder & Chairperson, Outliers Solutions Inc.
Sean Zou (Participant from the related Financial Regulatory Compliance program)
Representative and Head of Legal and Compliance Designate, Bank of Communications Co., Ltd.
“Excellent. The program is well organized, covered a wide range of topics, and I was really impressed with the scope and depth of content. The virtual networking was fun. I am sure I will benefit from this program for years to come.”
Register
Nov 24-25, 2026
Program + Workshop (Please note: the November 25 workshop will be live only and will not be recorded, live attendance is required.)
$1495 + TAX
Time
10:00 a.m – 5:00 p.m (ET)
Nov 24, 2026
Program Only
$925 + TAX
Time
10:00 a.m – 5:00 p.m (ET)
Jan 14, 2027
Online Replay will only include the program recorded on November 24.
$925 + TAX
Time
10:00 a.m – 5:00 p.m (ET)
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
Please Note
Final CPD accreditation has yet to be confirmed. Confirmed hours will be available soon.
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.
Explore certificatesSingle Course Enrollment
Do you have an LLB/JD? Consider taking a single LLM course for deeper learning in a specific area of practice – all credits will apply towards a Professional LLM.
Explore LLM coursesFrequently Asked Questions
Client and Technical Support
Have questions? Get advice in person, by email or over the phone.
Program content questions
Alexandra Karacsony, Program Lawyer
AKaracsony@osgoode.yorku.ca
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.