Compliance & Legal: Everything you wanted to know but were afraid to ask

The roles of Compliance, Legal, Audit and Risk are in a constant state of evolution. The challenges of supporting business innovation while executing effective monitoring, supervision, and oversight, are plentiful and are compounded by evolving regulatory focus and expectations. This panels of experts and leaders in their fields will help provide clarity and definition on industry ‘hot topics’ with meaningful insight to get through the next 12 months and onward.

This session may be eligible for CE credits.

Panelists:

• Mo Asadi, Senior Vice President, Head of Legal and Compliance, PIMCO Canada
• Brad Beuttenmiller, Sr. Associate General Counsel, Franklin Templeton
• Catherine Chamberlain, Head of Legal & Compliance, Americas, Vanguard
• Stephen Erlichman, Partner, Fasken and Author of “Making it Mutual: Aligning the Interests of Investors and Managers: Recommendations for a Mutual Fund Governance Regime for Canada”
• Debra Foubert, Director, Compliance & Registrant Regulation, OSC
• Kelley Hoffer, Managing Director, Country Head of Compliance & Operational Risk (Canada), Bank of America
• Jasmin Jabri, Managing Director, Investment Management, IIAC
• Supriya Kapoor, Principal, Aurelius G.R.P.
• Samir Khan, Partner and Deputy General Counsel, Deloitte
• Liane Kim, Senior Vice President, Internal Audit, Home Trust
• Liam Mason, Chief Risk Officer, Laurentian Bank of Canada
• Michèle McCarthy, President & CEO, Independent Review Inc.
• Ilona Niemi, Compliance Executive, Advisory Council for Law & Business at Ted Rogers School of Management
• Elise Renaud, Partner, Investment Management, Fasken
• Jacqueline Sanz, Managing Director, Risk & Compliance, Protiviti
• Gillian Seidler, Vice President & CCO, Mackenzie Financial
• Nathalie Sirois, Senior Director, Prudential Supervision, AMF
• Steven Slavens, Counsel, Tory’s LLP
• Arlene Stephens, Senior Director, Non-Financial Risk, OSFI
• Sue-Ling Yip, Partner, Risk Consulting & Financial Crimes, KPMG