The Canadian Institute's 12th Annual

Regulatory Compliance

for Financial Institutions

Thursday, November 16, 2006

About

Regulation in the financial services industry is in a constant state of change. The duties and obligations of those charged with the responsibility of ensuring that their financial institution is compliant with all applicable laws, regulations and guidelines are expanding at an alarming rate.

In this, the year of financial sector law reform, there are many potential new compliance issues that must be tackled as a result of proposals to revise the Bank and Insurance Acts. There will be new anti-money laundering regulations to master and a privacy law review to consider. The reporting requirements under the Basel II initiative are now in effect and provincial regulators have stepped up their efforts to monitor market conduct activity.

Effectively managing reputational risk is one of the most daunting and important challenges for FIs, and compliance professionals must have the knowledge and tools in place to meet that challenge.

The publication forThe Canadian Institute's 12th Annual Regulatory Compliance for Financial Institutions will give you up-to-the-minute information on all of these developments and more, plus practical tips and strategies for managing your ever-expanding responsibilities. You'll have the presentations from industry leaders, senior regulatory officials and top financial services lawyers on a wide variety of current topics, including:

  • OSFI's latest position on reputation risk, corporate governance, anti-money laundering, outsourcing, Basel II reporting and pandemic planning
  • FINTRAC's latest position on the verification and maintenance of customer information and AML priorities for the coming year
  • Creating a Culture of Compliance to manage reputation risk
  • The Privacy Commission's latest position on privacy audits and breach notification
  • The Finance Department's latest position on Financial Sector Reform
  • FCAC's latest position on the complex co-borrowing rules

Contents & Contributors

About

Regulation in the financial services industry is in a constant state of change. The duties and obligations of those charged with the responsibility of ensuring that their financial institution is compliant with all applicable laws, regulations and guidelines are expanding at an alarming rate.

In this, the year of financial sector law reform, there are many potential new compliance issues that must be tackled as a result of proposals to revise the Bank and Insurance Acts. There will be new anti-money laundering regulations to master and a privacy law review to consider. The reporting requirements under the Basel II initiative are now in effect and provincial regulators have stepped up their efforts to monitor market conduct activity.

Effectively managing reputational risk is one of the most daunting and important challenges for FIs, and compliance professionals must have the knowledge and tools in place to meet that challenge.

The publication forThe Canadian Institute's 12th Annual Regulatory Compliance for Financial Institutions will give you up-to-the-minute information on all of these developments and more, plus practical tips and strategies for managing your ever-expanding responsibilities. You'll have the presentations from industry leaders, senior regulatory officials and top financial services lawyers on a wide variety of current topics, including:

  • OSFI's latest position on reputation risk, corporate governance, anti-money laundering, outsourcing, Basel II reporting and pandemic planning
  • FINTRAC's latest position on the verification and maintenance of customer information and AML priorities for the coming year
  • Creating a Culture of Compliance to manage reputation risk
  • The Privacy Commission's latest position on privacy audits and breach notification
  • The Finance Department's latest position on Financial Sector Reform
  • FCAC's latest position on the complex co-borrowing rules

Contents & Contributors


HOW EVENT SPONSORS PROTECT PLAYERS
Mary VanDerweele, Nike Inc.

LESSONS FROM THE BALCO SPORTS DOPING CASES
William Bock, III, Kroger, Gardis & Regas, LLP

PROTECTING FANS
Greg Kirstein, Columbus Blue Jackets, NHL
Mechelle Evans, Madison Square Garden
Brian Socolow, Loeb & Loeb LLP

MANAGING SPONSORSHIP AGREEMENTS
Gary Gertzog, NFL Properties

PLAYER ENDORSEMENT CONTRACTS – MAXIMIZING EXPOSURE & REVENUE, WHILE MINIMIZING RISK
Michael Hauser, Alston & Bird

PLAYER ENDORSEMENT CONTRACTS – MAXIMIZING EXPOSURE & REVENUE, WHILE MINIMIZING RISK
Brian Heidelberger, Winston & Strawn

NEGOTIATING SPORTS-RELATED BRAND INTEGRATION DEALS IN A NEW MEDIA ENVIRONMENT
Michael Drucker, Collegiate Licensing Company

SPORTS RELATED BRAND INTEGRATION AT GM
James J. Williams, General Motors Corporation

NEGOTIATING SPORTS-RELATED BRAND INTEGRATION DEALS IN A NEW MEDIA ENVIRONMENT
Douglas N. Masters, Loeb & Loeb LLP

PROTECTING INTELLECTUAL PROPERTY RIGHTS FOR ATHLETES, LEAGUES, AND BRANDS
Brian Dickerson, Maguire & Schneider LLP
Ayala Deutsch, NBA Properties, Inc.
Kelly Maynard, United States Olympic Committee

David Ervin, Kelley Drye Collier Shannon THE FCC AND SPORTS PROGRAMMING
W. Kenneth Ferree, Sheppard Mullin Richter & Hampton LLP

THE BROADCAST OF THE OLYMPIC GAMES: ISSUES AND PERSPECTIVE FROM THE 2008 BEIJING GAMES
Cathryn Sadler, Morrison & Foerster (Los Angeles, CA)

COLLECTIVE BARGAINING ROUNDTABLE DISCUSSION
William L. Daly, National Hockey League

DOPING AND THE PRESUMPTION OF GUILT: REPRESENTING THE TEAM, ATHLETE, COACH, TRAINER AND/OR AGENT IN AN ETHICALLY-CHALLENGED ENVIRONMENT
Alan Fertel, Ferrell Law

COMBINING ETHICS WITH HIGH-PROFIT YIELDS WHEN REPRESENTING ATHLETES AS AN ATTORNEY, AN AGENT, OR BOTH
Gwendolyn Frost, Powers & Frost

THE ANTITRUST IMPLICATIONS OF SPORTS LEAGUE ELIGIBILITY RULES
Bradley I. Ruskin, Proskauer Rose LLP
David G. Feher, Dewey Ballantine LLP

UNDERSTANDING THE DYNAMICS OF COLLEGIATE SPORTS-PREPARING FOR THE BIG LEAGUES
Scott Bearby, NCAA
David Williams, Vanderbilt University
Evan Appel, Click & Null, P.C.