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Borden Ladner Gervais

22 Adelaide Street W

East Tower, 34th Floor

Toronto, Ontario M5H 4E3


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The Practical Uses of Technology for AML and KYC Compliance

The Canadian Regulatory Technology Association (CRTA), in partnership with Toronto Finance International (TFI), is proud to invite you to our inaugural event in Toronto focused on the Practical Uses of Technology in AML and KYC Compliance.

In the Canadian RegTech Association’s first industry forum, we will explore the changing Canadian regulatory landscape and other market factors that are impacting AML/KYC compliance programs. Greater consumer expectations, new suppliers of financial services and digital currencies are impacting how we bank and consequently how banks are on-boarding and managing client risk in an ongoing way. New technologies such as AI, biometrics and machine learning are being explored and applied to manage risk, improve security and reduce friction and the reliance on manual processes. We are also seeing evidence of successful collaboration efforts between market participants and regulators around the world in providing centralized utilities to manage KYC data.


February 6, 2018

8:00am – 2:00 pm

Borden Ladner & Gervais LLP
22 Adelaide St West
East Tower, 34th Floor



Opening remarks – Donna Bales and Matt Elton, Co-founders and Members of the Board, CRTA

Opening remarks – Jennifer Reynolds, President & CEO, Toronto Finance International

SESSION 1 - Keeping Up with Your Customer?

Overview: Changing customer dynamics and behavior patterns are putting increased pressure on how financial institutions serve their customers and comply with AML regulations. Adjusting to this new paradigm and selecting the best fit for your organization, however, is not always a straightforward task. New or enhanced enterprise technology solutions using AI, machine learning and robotic process automation have the potential to create efficiencies for an AML compliance program. In this session, we will discuss how new technologies are being used to complement or replace manual processes and legacy systems in order to identify discrete risk management uses, enhance monitoring and boost oversight and remediation efforts.

  • OverviewMatt McGuire - BA (Hons), MAcc, CPA, CA, CFF, DIFA, CAMS, AMLP – Advisor – AML Shop
  • Industry Perspective– Eugenio (Gene) DiMira, Compliance Director, Manulife
  • Case studies presented by:
  • Tom Devlin- Senior Regulatory Advisor - KYC Global Technologies
  • Joseph Iuso - CAMS, Co-founder and Head of Business Development and AML Specialists, KYC2020

SESSION 2 - More Bang for Your Buck – How to Leverage Utility Models for AML

Overview: There is significant overlap of KYC activities across financial institutions and very little competitive benefit in managing KYC information at an entity level. The use of a centralized utility presents an opportunity for financial institutions to rationalize costs while enhancing the onboarding experience through more precise, efficient and transparent onboarding processes. This session will discuss success stories but also the design challenges and practicalities of implementing an industry utility in Canada.

  • OverviewDavid Peters, Managing Director, Promontory Financial Group
  • Industry Perspective:
  • Stuart Davis, Global Head of Financial Crimes Management, Scotiabank
  • Alex Dixon Enterprise Solutions – Bloomberg
  • Sandra Persaud, Director Risk Advisory, Deloitte

SESSION 3 - Managing the Intersection between Technology and Regulation

Overview: Increasingly regulators and regulated industries are embracing the possibility that technology can work for them to ease the pressure, especially in the new data driven machine-readable world. That being said, RegTech solutions will only be accepted if they are fully compatible with legal and regulatory requirements, particularly in the era of new data privacy rules, know your customer regulations, and IT security requirements. Highly regulated organizations must make strategic choices about how to embrace and integrate new technology into their operations with minimal disruption. This is particularly difficult when the technologies and the technology service providers are nascent or when policy and regulation is not fully defined. In this session, we will hear different perspectives and success stories on how to effectively drive system change while staying market competitive and regulatory compliant.

  • Overview Julie Mansi, Partner, BLG
  • Industry Perspective: Marie-Andree Malo-Mongeau, Director, AML Process Excellence, CIBC
  • Case studies presented by:
  • Jeremy Fisher – Vice President of Operations, Securefact
  • James Follette- Global Head of Commercial Business and Retail Banking, Fenergo

Closing Remarks – Donna Bales and Matt Elton, Co-founders and Members of the Board, CRTA

Who Should Attend

Financial Institutions, regulators, policy-makers and technology providers

Headline Sponsors

Thank you to our generous sponsors:

For more information on the event or sponsorship opportunities contact: info@regtechroundtable.com

About the Canadian RegTech Association

The Canadian RegTech Association is a non-profit organization focused on solving regulatory challenges through collaborative efforts between key RegTech stakeholders: regulated entities, technology vendors, regulatory bodies, government and professional service providers. The goal is to facilitate dialogue, raise standards and promote growth and innovation within the Canadian RegTech eco-system. The organization will endeavour to solve regulatory challenges through collaborative discussion and engagement in proof-of-concept initiatives.

About Toronto Finance International

Toronto Finance International (TFI) (www.tfi.ca) is a public-private partnership between Canada’s three levels of government, the financial services sector and academia. TFI’s mission is to lead collective action that drives the competitiveness and growth of Toronto’s financial sector and establishes its prominence as a leading international financial centre. (TFI was formerly known as the Toronto Financial Services Alliance.)

About Borden Ladner Gervais LLP

Borden Ladner Gervais LLP (BLG) is a leading, national, full-service Canadian law firm focusing on business law, commercial litigation and arbitration, and intellectual property solutions for our clients. BLG is one ofthe country’s largest law firms with more than 700 lawyers, intellectual property agents and other professionals in five cities across Canada. We assist clients with their legal needs, from major litigation to financing to trademarkand patent registration. The Financial Services Regulatory Group of Borden Ladner Gervais LLP (BLG) is one of the largest in Canada. Working closely withclients, we provide regulatory advice in the areas of banking, life and property and casualty insurance, and a host of other financial services products and services.

About Fenergo

Fenergo is the digital enabler of client and regulatory technology for financial services. It provides Client Lifecycle Management (CLM) software solutions for Financial Institutions including; Corporate & Institutional Banking, Commercial & Retail Banking, Asset Management, Private Banking & Wealth Management. Counting 70 global Financial Institutions as clients, its award-winning CLM suite transforms how Financial Institutions manage clients; from initial onboarding to KYC/AML and regulatory compliance, to client data management and ongoing lifecycle KYC reviews and refreshes. Fenergo’s unique community-based approach to product development allows financial institutions to collaborate and contribute to solution design, empowering them to deliver a faster, more efficient and compliant client experience while achieving a single client view throughout.

About KYC2020

KYC2020 is the single source for global watchlist data and sanction screening services for AML/KYC compliance. Our team of CAMS™ certified AML specialists have combined next-generation technology with our deep understanding of MSBs and emerging online payments FinTech to deliver the ‘just right’ solutions that make AML compliance fast, easy, effective, and affordable for the small and middle-size enterprise. Our mission is to get you ‘hands-free’ of your compliance function so that you can be more ‘hands-on’ with your core business.

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Borden Ladner Gervais

22 Adelaide Street W

East Tower, 34th Floor

Toronto, Ontario M5H 4E3


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