As the Chief Compliance Officer, Amy Aubin leads the firm’s regulatory and compliance procedures. She is also a member of the firm’s risk committee.
Prior to joining Gluskin Sheff in 2011, she was a Regulatory Risk Consultant for Macquarie Financial as well as a Continuing Education Instructor at Ryerson University. Previously, she was the Senior Vice-President and Chief Financial Officer for AGF Trust Company.
DESIGNATIONS & SPECIALTIES
- Chartered Professional Accountant (CPA, CA)
- Chartered Financial Analyst (CFA) charterholder
- Certified Anti-Money Laundering Specialist (CAMS)
EDUCATION & ACHIEVEMENTS
- Bachelor of Commerce, University of Toronto (High Distinction)
- St. Michael’s College Gold Medalist
Day 1: Jun 17, 2020
3:30 pm
3:30 pm
Remote Management and Covid-19: Managing Oversight, Audits, and Other Ongoing Challenges
Work from home mandates presents new challenges for compliance officers. With more remote work, and the challenges surrounding monitoring and other compliance issues, learn how firms are coping with the changes. Join the discussion on how best to address:
- What the temporary blanket relief for registrants and unregistered capital markets participants entails
- The special challenges of overseeing advisors when all parties are working remotely
- Supervising registerable activities remotely
- Increased risks from non-face-to-face interactions and reliance on digital and virtual communications
- Cybersecurity impact to compliance and risks programs
- The current auditing challenges, and what to expect going forward
Assess the compliance challenges faced during Covid-19 as we move into a new year
Day 2: Jun 18, 2020
