Compliance & Legal: Everything You Wanted To Know But Were Afraid To Ask


Date: 06/05/23

Registration & Breakfast: 8:00 am

Start time: 9:00 am

End Time: 4:00 pm

Reception End Time: 6:30 pm

Location: Delta Hotel, (Kensington Room), 75 Lower Simcoe Street, Toronto


View the Event Agenda here.


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. Our 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.



Mo Asadi, Senior Vice President, Head of Legal and Compliance, PIMCO Canada

Brad Beuttenmiller, Sr. Associate General Counsel, Franklin Templeton

Stephen Erlichman, Partner, Fasken; Author of “Making it Mutual: Aligning the Interests of Investors and Managers — Recommendations for a Mutual Fund Governance Regime for Canada”

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.

Debra Foubert, Director, Compliance & Registrant Regulation, OSC

Liam Mason, Chief Risk Officer, Laurentian Bank of Canada

Philippe Pellerin, Manager, Supervision Division, FCAC

Nathalie Sirois, Senior Director, Prudential Supervision, AMF

Arlene Stephens, Senior Director, Non-Financial Risk, OSFI

Samir Khan, Partner and Deputy General Counsel, Deloitte

Gillian Seidler, Vice President & CCO, Mackenzie Financial

Catherine Chamberlain, Head of Legal & Compliance, Americas, Vanguard

Liane Kim, Senior Vice President, Internal Audit, Home Trust

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

Sue-Ling Yip, Partner, Risk Consulting & Financial Crimes, KPMG


*** This session may be eligible for CE credits ***




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