2026 Principal Broker Conference
Lead with confidence: Strengthening conduct and oversight in Your Mortgage Brokerage
Attention brokerage owners, principal brokers, chief compliance officers, team leads, directors, officers, and partners:
FSRA’s highly anticipated Principal Broker Conference is back, building on the success of the inaugural sold-out event in 2024. This full-day conference is tailored to help you strengthen your brokerage’s compliance, supervision, and consumer protection practices.
At this conference, you will:
- strengthen your leadership approach to support compliance with regulatory expectations and foster consumer outcomes that reflect clients’ unique needs and circumstances
- gain critical AML compliance insights from FINTRAC
- exchange best practices and network with peers and FSRA leaders
- earn four Continuing Education hours to support your professional development requirements
Why attend? Because strong compliance and conduct culture aren’t just regulatory expectations. They are the foundation of consumer trust and long-term success for your brokerage.
Act fast—each brokerage can send up to two key representatives.
| In-Person |
|---|
Cost: $199 |
Agenda
| Time | |
|---|---|
| 7:45 a.m. | Registration / Continental breakfast begins |
| 8:45 a.m. | WelcomeJennie Hodgson, Senior Manager, Mortgage Brokering Conduct, Market Conduct |
| 8:50 a.m. | Opening RemarksDexter John, Chief Executive Officer |
| 9:15 a.m. | Greetings from Antoinette Leung, Executive Vice President, Market Conduct |
| 9:35 a.m. | Panel discussion: Best business practices – for the sector, from the sectorIndustry experts and FSRA discuss compliance best practices, emerging challenges, and effective regulator-industry collaboration.
Panelists: Elaine Taylor, President, Mortgage Alliance (TMACC)
Moderator: Gina Stephens, Director, Mortgage Brokering Conduct, Market Conduct |
| 10:30 a.m. | Break |
| 10:50 a.m. | Presentation: FSRA enforcement in actionLearn about regulatory expectations related to private mortgages, lending activities, record keeping and cooperation with FSRA’s Investigations team.
Tamara Kido, Senior Manager, Forensic Investigations, Legal and Enforcement |
| 11:30 a.m. | Presentation: The principled Principal Broker: Maintaining consumer confidence through improved hiring practices (licensing and supervisory expectations)Explore how effective due diligence, hiring and transfer practices can help principal brokers prevent misconduct, protect consumers and maintain confidence in the mortgage brokering sector.
Panelists: Yovanka McBean, Director, Licensing, Market Conduct |
| 12:10 p.m. | Lunch |
| 1:10 p.m. | Breakout session 1: More than a form: A sector-led approach to product suitability assessmentsIndustry members from FSRA’s Technical Advisory Committee will lead a discussion on their draft Product Suitability Assessment Form, including its development, practical use, and future evolution.
Presenters:
Or* Breakout session 2: AML Compliance featuring FINTRACFINTRAC shares insights on evolving risks, common compliance gaps, and regulatory expectations for mortgage brokerages. Additionally, Sue-Ling Yip from Deloitte will provide practical insights on operationalizing AML requirements within brokerage practices.
FINTRAC Sue-Ling Yip, Partner, Regulatory Risk & Financial Crimes, Deloitte LLP
*Breakout sessions run concurrently. |
| 2:10 p.m. | Break |
| 2:25 p.m. | Breakout session 1: More than a form: A sector-led approach to product suitability assessmentsIndustry members from FSRA’s Technical Advisory Committee will lead a discussion on their draft Product Suitability Assessment Form, including its development, practical use, and future evolution.
Presenters:
Or* Breakout session 2: AML Compliance featuring FINTRACFINTRAC shares insights on evolving risks, common compliance gaps, and regulatory expectations for mortgage brokerages. Additionally, Sue-Ling Yip from Deloitte will provide practical insights on operationalizing AML requirements within brokerage practices.
FINTRAC Sue-Ling Yip, Partner, Regulatory Risk & Financial Crimes, Deloitte LLP
*Breakout sessions run concurrently. |
| 3:30 p.m. | Presentation: Private lending mythbustersTest your private mortgage lending knowledge as we debunk common industry myths.
Jennie Hodgson, Senior Manager, Mortgage Brokering Conduct, Market Conduct |
| 3:40 p.m. | Closing remarksAntoinette Leung, Executive Vice President, Market Conduct |
| 3:45 p.m. | Networking (60 minutes) |