Financial Institutions Day

1. Financial Services Regulatory Developments

• Changes to the financial system risk environment and impacts on financial institutions including:
  • Liquidity and funding
  • Loan losses
  • Increased interest rates
  • Non-bank financial sector
  • Disclosure
• Reflections on recent developments in the US financial markets and impacts on regulatory policy

Tim Stewart
Partner, Canadian Head of Financial Services & Regulation, Norton Rose Fulbright

Naizam Kanji
General Counsel, Ontario Securities Commission

Tom Delaney
Partner, United States, Norton Rose Fulbright

Dan Hunter
Senior Managing Director - Head of Financial Services Strategic Communications, FTI

Moderator
Lynne O’Brien
Of Counsel, Norton Rose Fulbright

2. Securities Regulatory Developments

• Canada - Structural changes
  • New Capital Markets Tribunal 
  • New SRO 
• Canada - Enforcement trends and issues
  • Cases of interest
  • Whistleblower program effectiveness
  • Developments to watch
• United States
  • Issues arising in settlement negotiations 
  • Evolving expectations regarding cyber disclosures
  • Scrutiny of compliance programs
  • Whistleblower issues/developments 

Linda Fuerst
Senior Partner, Norton Rose Fulbright

Naizam Kanji
General Counsel, Ontario Securities Commission 

Sandeep Savla
Co-Head of Regulatory, Investigations, Securities & Compliance, United States, Norton Rose Fulbright

Emre Carr, Ph.D.,
Senior Managing Director – Forensic & Litigation Consulting, FTI

3. ESG – Current Issues 

• Canada - corporate governance/proxy battle preparedness
  • Mandatory ESG reporting
  • Overview of disclosure requirements
  • Overview of Canadian regulators
  • Other risks including activism, litigation and challenges to ESG investing
  • Developments in data analytics
• United States - How the SEC is dealing with ESG
  • Update on SEC rulemaking
  • Other drivers influencing ESG and sustainability programs
  • SEC’s current power of enforcement
• United States - ESG in the context of enforcement
  • Overview of SEC’s Climate and ESG Task Force
  • Overview of other US agencies
  • ESG-related litigation

Heidi Reinhart
Partner, Norton Rose Fulbright

Beth Jones
Senior Managing Director, Risk & Investigations, ESG & Sustainability, FTI

Anton Tabuns
Senior Counsel, Sustainability, Legal & Regulatory Compliance, BMO Financial Group

Moderator 
Alison Babbitt
Partner, Norton Rose Fulbright

4. Data Protection 

• Managing cyber risk
  • Overview of the type of preparation required
• Managing privacy risk
  • Adoption of new federal privacy bill
• Managing digital risks
  • Overview of the framework to manage cyber, privacy and AI risks

Imran Ahmad
Partner, Head of Technology, Co-Head of Information Governance, Privacy & Cybersecurity, Norton Rose Fulbright 

Jessica de Brignac
Managing Director, FTI

Law Society of Ontario | Each session of this program contains 40 minutes of Substantive content.