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«The Canadian Institute’s Regulatory Compliance Speaker Biographies MAUREEN BELL is a Vice President of Compliance for CIBC. She is responsible for ...»

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The Canadian Institute’s

Regulatory Compliance

Speaker Biographies

MAUREEN BELL is a Vice President of Compliance for CIBC. She is responsible for promoting compliance and good

internal governance policies and procedures for CIBC’s retail and business banking. As such she coordinates and

advises on policy / procedure development, implementing compliance monitoring programs and responding to

regulatory inquiries. Ongoing liaison with regulatory authorities such as FCAC, CDIC and various provincial regulators are also part of her day-to-day responsibilities and expertise. A Chartered Professional Accountant, Maureen has over 25 years of experience in control and compliance.

Email: maureen2.bell@cibc.com Telephone: 416-980-3013 JOAN BENTLEY is Director, Regulatory Compliance Assessments, Anti-Money Laundering and Compliance Division, in OSFI's Toronto office. OSFI’s Compliance assessment function was developed and launched by Joan in 2010 at the request of the Non-Conglomerate Deposit Taking Institutions area of OSFI’s Supervision Sector. The function now assesses regulatory compliance controls for Supervision’s Conglomerate Banks, Life Insurance and Property & Casualty Insurance areas. OSFI’s Guideline E-13 was revised and rolled out in 2014 under Joan’s supervision. Before launching AMLC’s dedicated Compliance function, Joan was a member of the Canadian delegation to the Financial Action Task Force (FATF) and regional bodies. She played a lead role in drafting OSFI's AML/ATF Guideline B8 and OSFI’s 2010 Instruction Guide on Designated Persons Listings and Sanctions Laws. She is currently responsible for all aspects of the Compliance function and represents AMLC in related policy development.

NICOLAS BURBIDGE Nick Burbidge is Senior Director, Anti- Money Laundering & Compliance Division, Office of the Superintendent of Financial Institutions Canada (OSFI). OSFI is responsible for the prudential supervision of banks and all federally regulated financial institutions (FRFIs). Nick’s specialist team at OSFI is responsible for assessing Compliance and ML/TF risk management operations at FRFIs, including those of Canada’s strategically important banks and conglomerate life insurance companies, and of applicants for banking licences. OSFI works closely with the Department of Finance, the Financial Transactions and Reports Analysis Centre of Canada, and other key domestic agencies on ML/TF issues. Nick Burbidge is a member of the Canadian delegation to the Financial Action Task Force (FATF). In 2014 he completed work as an FATF financial assessor for the 4th round mutual evaluation of Spain. He is currently an assessor for the FATF mutual evaluation of the United States. He has made numerous supervisory, training and other presentations on ML/TF risk supervision around the world over the past 10 years.

Email: nicolas.burbidge@osfi-bsif.gc.ca Telephone:

KOKER CHRISTENSEN is a partner in the Toronto office of Fasken Martineau and is Co-Leader of the Firm’s Financial Institutions Group. He advises domestic and foreign banks, insurers, trust companies, credit unions and insurance agents and brokers on mergers and acquisitions, corporate governance and risk management, and a wide variety of corporate and regulatory matters. He also advises financial institutions on incorporation and licensing. Koker regularly deals with the Office of the Superintendent of Financial Institutions and other financial institutions regulators.

Email: kchristensen@fasken.com Telephone: 416-868-3495



311L16-TOR ELAINE J. CORMACK recently joined The Bank of Nova Scotia as Senior Counsel responsible for all aspects of the Scotiabank credit card business, as well as emerging payments. Prior to joining Scotiabank, she was Vice President Legal at HSBC Financial Canada. In her role at HSBC, Elaine advised on all matters related to the HSBC MasterCard (issued by HSBC Bank Canada) and the HSBC retail credit card business (issued by a provincially regulated subsidiary), and also had responsibility for insurance, vendor management, privacy, sanctions and anti-money laundering and terrorist financing. Elaine spent much of her early career at Blake Cassels & Graydon LLP, where she was a partner with the Financial Services Group. While at Blakes, Elaine provided advice to both Canadian and foreign financial institutions, including banks, commercial and consumer finance companies and a variety of other financial service providers. Her practice covers all aspects of regulatory compliance in the financial services industry with a special emphasis on credit cards, consumer finance, privacy and anti-money laundering.

Email: elaine.cormack@scotiabank.com Telephone: 416-866-3431 ANDREA COTRONEO is General Counsel and Corporate Secretary, Vice President of Communications, Consumer and Business Policy for the Canadian Bankers Association (CBA). As part of the executive team, she acts as the lead legal advisor for the CBA and manages the Association’s Legal, Communications and Consumer and Business Policy divisions. Ms. Cotroneo joins the CBA from MasterCard International where she was Vice President, Managing Region Counsel responsible for leading the legal, compliance and public policy functions for MasterCard in Canada.

Previously she held progressively senior legal counsel roles at Dell Canada Inc. and Moneris Solutions Corporation and practiced corporate and securities law with Aird & Berlis LLP. Ms. Cotroneo holds an Honours Bachelor of Arts degree in Political Science and Languages from Laurentian University and a Bachelor of Laws degree from the University of Ottawa. She also holds the Institute of Corporate Directors designation from Rotman School of Management. The Canadian Bankers Association works on behalf of 60 domestic banks, foreign bank subsidiaries and foreign bank branches operating in Canada and their 280,000 employees. The CBA advocates for effective public policies that contribute to a sound, successful banking system that benefits Canadians and Canada's economy. The Association also promotes financial literacy to help Canadians make informed financial decisions and works with banks and law enforcement to help protect customers against financial crime and promote fraud awareness. www.cba.ca.

Email: acotroneo@cba.ca Telephone: 416-362-6093 Ext 214 MICHAEL DAVENPORT is Vice President and Associate General Counsel with The Bank of Nova Scotia, practicing primarily in the area of Retail Banking, Insurance and Electronic Banking divisions of the Bank. Michael’s practice includes advising on all aspects of the Bank from branches to executive offices therefore gaining a broad spectrum of the Bank’s reaction to legislative, litigation and compliance issues from the policy development and implementation perspectives. Michael received a BA from Queen’s University and an LLB from Osgoode Hall in 1986.

ANTOINETTE M. DUFFY is a pioneer in the field of eDiscovery in Canada, and is responsible for the Information Management practice in Canada for CommVault. Today, Antoinette is a member of Canada’s management team at CommVault leading the effort on customer requirements around information management initiatives. She is responsible for developing sales strategy, partner engagement enablement, field marketing effort and evangelizing; and development of the go to market strategy that aligns to customer and market requirements.

Antoinette also founded and operated Focus eDiscovery. Focus eDiscovery was created to provide targeted, customized eDiscovery solutions that would assist and educate corporate, legal and government organizations; and assist these organizations to navigate the complex process of eDiscovery. Antoinette has a long history of specializing in complex litigation, more particularly eDiscovery. With her “hands on” work ethic and an intuitive understanding of the issues at hand, she will be a major architect and sales lead for the Canadian go to market



311L16-TOR strategy. Prior to Focus eDiscovery, Antoinette has worked at several of the largest law firms in Canada and eDiscovery vendors as an eDiscovery specialist. In her area of practice, Antoinette has authored articles for Canadian publications, delivered sessions at conferences, was an instructor for Institute of Law Clerks in Ontario and for the Organization of Legal Professionals in the US. She is a former Director of Women in eDiscovery, a current member of the Canadian Women’s Executive Network, Rotman’s Initiative for Women in Business, Association of Certified Fraud Examiners and Certified Information Systems Security Professional. Her academic background includes a candidacy at Rotman’s School of Management, Humber College, and continuing education at ILCO and the Ontario, Canadian and American Bar Associations.

Email: aduffy@commvault.com Telephone: 416-906-6516 DAVID EASON is Chairman, Berkeley Payment Solutions, and Chairman, Canadian Prepaid Providers Organization.

SHARISSA ELLYN is Of Counsel in the Toronto office of Norton Rose Fulbright Canada. Sharissa focuses her practice on regulatory law and compliance in the financial services and payments industries. She assists clients with a broad range of matters related to payments and electronic commerce. Sharissa has expertise with respect to a variety of financial products and services, including consumer and commercial loans, credit cards, gift cards and other prepaid products and money transfers. She also has significant expertise with the legal and regulatory aspects of financing and leasing of various types of equipment, including technology and motor vehicles. Sharissa assists her clients in drafting and improving their customer facing documents as well as with managing their legislative and regulatory compliance obligations.

Email: sharissa.ellyn@nortonrosefulbright.com Telephone: 416-216-2468 BERNARD GAGNÉ is responsible for the management of Compliance Relations and Support in the Regional Operations and Co Sector at FINTRAC. This includes overseeing guidelines, policy interpretations, reporting entity assistance (enquiries), management of the MSB registry, and industry relations. Before joining FINTRAC in 2012, Bernard had significant mana experience in the banking sector as well as several years in financial institution regulatory compliance with the Financia Consumer Agency of Canada. He also worked with the Office of the Superintendent of Bankruptcy Canada where he le development and implementation of a performance framework.

CHRIS GALLOWAY is the head of the Compliance Department that sits within the Risk Group at Central 1 and he reports into the Chief Compliance and Risk Officer. Chris has been working in the financial services sector for almost twenty years and has worked for various large multi-national banking corporations in five different countries across the globe. He has worked in the credit union system in Canada since 2007, having previously held the role of Anti-Money Laundering Officer for Credential Financial Inc. before moving to Central 1 in 2009.

MIKE GARDNER is CEO of Agreement Express, a SaaS based automated onboarding and underwriting solution for the financial services industry. Since joining Agreement Express in 2005, Gardner has evolved the product into a solution trusted by Fortune 500 financial institutions and top global acquirers. Prior to joining Agreement Express, Gardner, a 20-year veteran of the software industry, spent six years at Cayenta - an international ERP software vendor for the utility and public sector markets. Between 1998 and 2004 Gardner led Cayenta to profitable growth through challenging economic conditions. His past experience has taken him through several firms including Canadian Pacific (Interlink), Cryptologic, and Price Waterhouse Coopers. Gardner has also contributed over a decade of work to the ALS Society of British Columbia and the ALS Society of Canada. Dedicated to actively brining change to our society, Gardner has chaired the National Advocacy Committee and the Partner Advisory Committee, which earned him the William Fraser Leadership Award.

Email: mgardner@agreementexpress.com Telephone:



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