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

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

Élise 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


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



Reception Sponsor

National Bank Independent Network


Fireside Chat Sponsor

Independent Review Inc.


Morning Break Sponsor 

Protiviti Inc.


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