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Principle Based Regulation

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A GRI MEMBERSHIP EVENT

GRI and McMillan LLP are pleased to invite you to a special panel discussion which will centre on regulatory risk. Our panellists will dive deeper into the concept of Principle Based Regulation. This event will provide GRI members the opportunity to hear from key regulators in the financial services industry.

If you are interested in attending please email: [email protected]

Moderator & Panelists

Mary G. Condon, Dean of Osgoode Hall Law School – Moderator

  • Mary Condon was appointed Dean of Osgoode Hall Law School on July 1, 2019.  She served as Associate Dean (Academic) from July 2016 to April 2018, and as Interim Dean from May 1, 2018 to June 30, 2019.  Between 2008 and 2016 she was appointed by the Ontario government as a Commissioner and Board Member of the Ontario Securities Commission (OSC). For three of those years (2011-2014) she served as one of two full-time Vice-Chairs of the OSC. In that capacity she was executive sponsor of a number of policy initiatives. She also issued numerous adjudicative decisions as a member of the OSC’s tribunal. In early 2018, she was appointed a member of the board of the Capital Markets Authority Implementation Organization (CMAIO), an interim body set up to assist with the establishment of a Capital Markets Regulatory Authority for co-operating jurisdictions in Canada

 

Jamey Hubbs, Assistant Superintendent, Deposit-Taking Supervision Sector, OSFI – Panelist

  • Jamey Hubbs was named Assistant Superintendent, Deposit-Taking Supervision Sector in April 2015. In this executive role, he is responsible for the supervision of some 150 federally regulated deposit-taking institutions. Mr. Hubbs brings more than 25 years of varied experience in the financial services industry to the role, most recently as Senior Director, Credit Operations, Market and Model Risk within OSFI’s Supervision Support Group.  Prior to joining OSFI in May 2012, Jamey was Executive Vice President and Managing Director, Co-Head of Global Markets CEO for HSBC Securities (Canada) Inc. He has also served in senior management positions at TD Securities, National Bank Financial, and Scotia Capital, both in Canada and London, England.

 

Maureen Jensen, Chair and CEO, OSC – Panelist

  • Maureen Jensen is the Chair and Chief Executive Officer of the Ontario Securities Commission (OSC), which administers and enforces securities law in the capital markets of the province of Ontario. Prior to her appointment as Chair and CEO, Ms. Jensen was the Executive Director and Chief Administrative Officer of the OSC. As the senior member of staff, she was responsible for coordinating and managing the organization’s day-to-day operations, including its enforcement, market regulation and compliance functions. In addition, she provided leadership and direction on policy development and implementation, as well as strategic securities, regulatory and enforcement policy and program analysis. Ms. Jensen was also an executive sponsor of various regulatory policy initiatives. Before joining the OSC, Ms. Jensen was Senior Vice-President, Surveillance and Compliance at the Investment Industry Regulatory Organization of Canada (IIROC), the national self-regulatory organization that oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. At IIROC, she was responsible for all of its compliance and market surveillance functions, including market surveillance and prudential and business conduct regulation of all registered dealers and registrants.

 

Mark E. White, CEO, Financial Services Regulatory Authority (FSRA) – Panelist

  • Mr. White is an accomplished and experienced leader and executive in the regulatory and financial sectors, with a passion for excellence and focused execution and a keen interest in understanding and meeting the needs of multiple stakeholders. With a strong background in regulation, risk management, governance, law, finance, change management and process improvement and oversight, Mr. White is uniquely positioned to drive the modernization and transformation of financial services regulation in Ontario, and to help ensure people in Ontario receive financial services which meet their needs, while balancing private and public sector objectives. Before joining FSRA in May 2018, Mr. White held a number of senior executive positions at the Bank of Montreal. Most recently, as BMO’s Senior Vice President & Head Enterprise Risk, he had overall enterprise accountability for the design and implementation of the bank’s risk management tools, methodologies and frameworks; for oversight of and reporting on the bank’s risk management activities; and for governance and oversight of risk management functions, including the identification of top and emerging risks, the development and execution of qualitative and quantitative risk management techniques, the design and implementation of risk management systems and processes, and the provision of effective challenge over operational risks such as event, cyber, information and technology risk. He also served as BMO’s Senior Vice President responsible for strategic and technical leadership on capital adequacy, balance sheet efficiency, regulatory rules and capital issuances, frequently liaising with regulators and rating agencies.

If you are interested in attending please email: [email protected]