2024 Principal Broker Conference
Elevate your Mortgage Brokerage
Don't miss this unique opportunity to enhance the overall success and reputation of your brokerage by cultivating a robust conduct and compliance culture.
FSRA is hosting its first-ever mortgage brokering conduct event tailored to help you consistently achieve positive outcomes for your clients, while strengthening consumer confidence in the sector. This is your chance to:
- gain a comprehensive understanding of FSRA's expectations regarding the fair treatment of consumers and how to implement FSRA’s guidance.
- discover new approaches to effectively lead your team in meeting regulatory expectations, including providing products that are suitable to client needs.
- identify gaps in your current compliance practices and develop outcomes-based strategies to address them.
- exchange best business practices and network with other brokerage leaders and engage with FSRA representatives.
Why attend? Because your clients deserve the best, and so does your brokerage.
This is your chance to take your brokerage to the next level and make a lasting impact in the sector.
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In-Person |
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Cost: $130 |
Cancellations and refunds
Cancellations must be received no later than November 5, 2024, and in writing to [email protected] to receive a full refund. Cancellations received after November 5, 2024, will be charged the entire conference fee and are not eligible for a refund. At any time, you are welcome to send an alternate key representative to the event in your place. Any attendee name changes should be communicated before November 18, 2024.
Agenda
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Time |
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8:00 a.m. |
Registration / Continental breakfast |
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9:05 a.m. |
WelcomeThe Honourable Zee Hamid, MPP, Milton and Parliamentary Assistant to the Minister of Finance (see bio) |
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9:20 a.m. |
Opening RemarksHuston Loke, Executive Vice President, Market Conduct (see bio) |
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9:50 a.m. |
Panel discussion: FSRA’s vision for the Mortgage Broker sectorPanelists: Antoinette Leung, Head, Financial Institutions and Mortgage Brokerage Conduct, Market Conduct (see bio) Gina Stephens, Director, Mortgage Brokering Conduct, Market Conduct (see bio)
Moderator: Cheryl Szutu, Senior Manager, Mortgage Brokering Conduct, Market Conduct (see bio) |
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10:25 a.m. |
Presentation: Licensing suitabilityJelena Pejic, Head, Licensing and Risk Assessment, Market Conduct (see bio) Yovanka McBean, Director, Licensing, Market Conduct (see bio) |
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10:50 a.m. |
Break |
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11:15 a.m. |
Panel discussion: Effectively managing regulatory and compliance risksProfessional compliance consultants discuss approaches to effective regulatory and compliance risk management.
Panelists: Kevin Cohen, Founder and National Leader, AUM Law (see bio) Jackie Sanz, Managing Director Canada Lead for Risk and Compliance Solution, Protiviti (see bio) Donna Spagnolo, Partner, Borden Ladner Gervais (BLG) LLP (see bio)
Moderator: |
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12:05 p.m. |
Lunch |
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1:00 p.m. |
Breakout session 1: Managing real-life supervision challengesTools and resources principal brokers need to effectively manage compliance processes and task delegation to ensure the fair treatment of consumers. Antoinette Leung, Head, Financial Institutions and Mortgage Brokerage Conduct, Market Conduct (see bio) Nadiatou Fagbemi, Senior Manager, Mortgage Brokering Conduct, Market Conduct (see bio)
OR*
Breakout session 2: Re-performance – The key to suitability documentationImplementing adaptable and scalable suitability documentation processes and monitoring to ensure consumers receive suitable mortgage product recommendations. Gina Stephens, Director, Mortgage Brokering Conduct, Market Conduct (see bio) Jennie Hodgson, Senior Manager, Mortgage Brokering Conduct, Market Conduct (see bio)
*Breakout sessions run concurrently. |
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1:55 p.m. |
Break |
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2:20 p.m. |
Breakout session 1: Managing real-life supervision challengesTools and resources principal brokers need to effectively manage compliance processes and task delegation to ensure the fair treatment of consumers. Antoinette Leung, Head, Financial Institutions and Mortgage Brokerage Conduct, Market Conduct (see bio) Nadiatou Fagbemi, Senior Manager, Mortgage Brokering Conduct, Market Conduct (see bio)
OR*
Breakout session 2: Re-performance – The key to suitability documentationImplementing adaptable and scalable suitability documentation processes and monitoring to ensure consumers receive suitable mortgage product recommendations. Gina Stephens, Director, Mortgage Brokering Conduct, Market Conduct (see bio) Jennie Hodgson, Senior Manager, Mortgage Brokering Conduct, Market Conduct (see bio)
*Breakout sessions run concurrently. |
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3:20 p.m. |
Closing remarks |