Given the scope of the Fintech changes and the CSA proposals on best interest standards, this year is not the time to fall behind your implementation schedule. From best interest standards to the reform on mutual fund fees, the upcoming regulations are likely to leave you no time to play catch-up.
Hear from the top regulators in the country and stay on top of your compliance process.
Designed for all categories of registrant, take back to your office strategies to:
Know your requirements and achieve compliance excellence!
Benjamin Bernal is a former Policy Maker and IT Risk Examiner with the Mexican Regulator (CNBV) of the financial services with over 18 years of experience in key managerial positions leading the Operational and IT Risk Supervision group. Benjamin has extensive experience in developing regulations in the matter of IT, including Electronic Banking Services, Information Security, Privacy, AML, Branchless Banking, Third Party Risk Management, IT Risk, and regulatory reports for electronic banking transactions and customers’ complaints. Benjamin played a key role as part of the leading group for the development of the regulatory framework to enhance the financial inclusion in Mexico.
Joined Scotiabank in 2012, currently Benjamin is responsible for the IT Regulatory Compliance matters as part of the Operational Risk and Governance group. His well balanced experience has made a difference in terms of customer protection controls in the financial industry throughout his professional career. He studied Cybernetics and Systems Engineering, Market and Credit Risk Management and has a MBA from La Salle University Mexico; in addition he holds IT Audit, Information Security and Governance related professional designations.
Martha Kane is Chief Compliance Officer (CCO) of Capital Direct Management Ltd. She started her career in front of the investor as a financial planner then moved on to hold various roles in a dealer environment including in product development, operations and compliance as CCO of a national IIROC, MFDA and insurance firm. To compliment her industry experience, Martha served as a Senior Advisor at the BC Securities Commission (BCSC) where she participated in CSA discussions regarding mutual fund fees, targeted reforms and OBSI amongst others. While at the BCSC, Martha also managed examination of Investment Fund Managers, Exempt Market Dealers and Portfolio Managers. She has a Bachelor of Commerce (Hons) from the Asper School of Business as well as a Certified Financial Planner designation (CFP). Martha served on the MFDA Pacific Regional Council Enforcement Hearing Panel for several years, as an industry board member and is active on industry committees.
Marie-Claude is Chief Compliance Officer of BNY Mellon Wealth Management, Advisory Services in Toronto, as well as Chief Compliance Officer for BNY Mellon Trust Company (Cayman) Ltd. Marie-Claude has more than 15 years of professional experience in the investment management industry. Since she joined the firm in 2003 she has taken on increasingly senior roles, including positions as investment analyst, director of client service, vice president of administration and compliance. She was named chief compliance officer in 2012.
Marie-Claude earned her Bachelor of Commerce from McGill University. She is a CFA charterholder and a member of the Toronto CFA Society. She also is a member of the board of directors for BNY Mellon Wealth Management, Advisory Services.