2024 Compliance Summit

Banner image featuring three pictures of Banff and the May 22-24 date of the conference

The Alberta Insurance Council (AIC) is proud to be hosting the 2024 Compliance Summit in Banff, Alberta on May 22-24, 2024.

This conference will bring together insurance regulators from across Canada for three days of learning, networking, and information sharing at the iconic Rimrock Resort Hotel in the Rocky Mountains. Attendees will:

  • learn regulatory best practices from expert, in-demand speakers like Harry Cayton, Jason Kully, and many others;
  • share information and learnings across jurisdictions about topics like multi-level marketing, oversight measures, and more; and
  • get on top of trends affecting regulation of the insurance industry—all while enjoying the splendour of the mountain peaks and glacial lakes in picturesque Banff.

The AIC is proud to create opportunities to elevate knowledge sharing and learning that will help strengthen regulatory functions for insurance professions across the country.

Save $75 with early bird tickets. Available until March 31.

Summit tickets:

Regular price: $400
Early bird special (if you register by March 31): $325 ($75 savings!)

In addition to saving $75 with our early bird tickets, you’ll be entered into our early bird draw for a chance to win a signed copy of The Law of Regulatory Investigations in Canada, co-authored by 2024 Compliance Summit keynote speaker Jason Kully! Jason’s book retails for $205 and outlines a multi-disciplinary approach for an effective framework to analyze legal issues that arise in regulatory investigations. Don’t miss out on these early bird savings and chance to win Jason’s signed book!

Tickets are non-refundable, but can be transferred to another colleague or designate.

Rimrock Resort Rooms

An exclusive special rate of $373 a night for a classic room is available at the Rimrock Resort Hotel for the nights of May 22 and 23. Don’t wait to book your accommodations! This exclusive rate is available in limited quantities and is first come first served; once the room block is booked up, all remaining reservations will be at the regular Rimrock rates (approximately $899 a night).

This special rate is only available until the room block is full or April 22, 2024. Rooms booked after this date or when the room block is full will be at regular Rimrock rates (approximately $899 a night).

Information on how to book your room at the Rimrock will be available in your registration confirmation email after you’ve purchased tickets.

Note: the special $373 room rate at the Rimrock is available from May 19-26 if you’re interested in arriving in Banff earlier or extending your stay in the mountains after the summit is done. However, rooms are subject to hotel availability, and May 18-20 is the Victoria Day long weekend so pre-Compliance Summit rooms are expected to be booked up quickly.

May 22

5:30 – 8:30 pm Networking Dinner at Rimrock Resort Hotel

May 23

7:30 – 8:45 am Breakfast
8:45 – 9:00 am New AIC CEO – Welcome and Draw for The Law of Regulatory Investigations. Welcome and introduction to 2024 Compliance Conference
9:00 – 9:30 am Kelvin Lai, Insurance Council of British Columbia – Reciprocal Enforcement This session will consider findings of discipline from other regulators.
9:30 – 9:45 am Morning break
9:45 – 11:45 am Swati Agrawal, FSRA – L&H Insurance: Market Conduct in Action FSRA will share its regulatory journey of reviewing distribution channels and key observations of recent activities including remediation and triaging efforts.
11:45 – 12:45 pm Lunch
12:45 – 2:45 pm Harry Cayton, The Regulator’s Practice – Right-Touch Regulation and Innovation Right-Touch regulation allows regulators to adapt and evolve in a rapidly changing landscape driven by innovation. The same innovation provides tools and new approaches to Right-Touch regulation thinking. In this session, Harry Cayton will discuss Right-Touch Regulation and innovation and how it can be applied to regulation.
2:45 – 3:00 pm Afternoon break
3:00 – 4:15 pm Jason Kully, Field Law – Top Regulatory Cases in 2023 Jason Kully will discuss the most important professional regulatory court cases of 2023. He will outline the legal trends set by these cases and the strategic and operational implications for regulators.
4:15 – 5:00 pm Brent Rathgeber, AIC – Free Speech vs. Conduct unbecoming The courts have provided regulators with discretion associated with misconduct associated with speech.  What should be the regulator’s response to this discretion?
6:00 – 8:00 pm Networking Dinner, Bluebell Room, Rimrock Resort Hotel

May 24

7:30 – 8:30 am Breakfast
8:30 – 9:00 am Patrick Ballantyne & Tanya Chu, RIBO – Virtual Spot Check Program: Design & Implementation RIBO will share its experience with the implementation of its virtual spot check program.
9:00 – 10:30 am Kimberley Van Buuren & Shannon Kelley, Parlee McLaws – Top Insurance Agency cases in 2023 This session will discuss the most important insurance and insurance agency cases of 2023. Kimberley and Shannon will outline how these cases might impact insurance law, consumer rights and responsibilities, and its possible impact on regulatory oversight.
10:30 – 10:45 am Morning break
10:45 – 11:30 am Sandy Surette and Kirk Huxley, Insurance Council of British Columbia – Supervision and Oversight Measures Workshop A workshop based on two scenarios aimed at determining how regulators inquire to determine if agencies are meeting their supervision and oversight obligations.
11:30 – 12:00 am Joseph Fernandez, AIC – Future Compliance Conferences The COVID pandemic affected the rhythm of conference schedules. This will be a discussion of the rhythm and modality for future conferences.

Swati Agrawal

Swati Agrawal Nevatia is the Director of Life and Health Companies and National Supervision at the Financial Services Regulatory Authority (FSRA). In this role, she directs the development, design, and implementation of regulatory compliance and end-to-end thematic reviews for insurance companies and their distribution partners. Swati is Ontario’s lead for cooperative supervisory initiatives performed under the Canadian Council of Insurance Regulators (CCIR), a national organization that includes all the provincial and territorial regulators, along with the Federal Office of the Superintendent of Financial Institutions. Together, they work to enhance fair treatment of consumers while ensuring an efficient and effective regulatory framework for the insurance sector.

 

Swati is a Canadian representative at the International Association of Insurance Supervisors (IAIS), Market Conduct Working Group (MCWG). She co-leads the Diversity, Equity, and Inclusion (DEI) strategic initiative to evaluate how a greater consideration of DEI can lead to better consumer outcomes. Her work in this leadership capacity will assist insurers and intermediaries globally to achieve a more equitable and fairer treatment of diverse customers (e.g., vulnerable, underserved or minority groups).

 

Prior to FSRA, Swati was a Manager with KPMG’s Internal Audit, Risk & Regulatory Compliance Services, responsible for leading advisory engagements and client relationship management for the financial services sector across North America. She has worked and supervised teams in New York, Philadelphia and Toronto. Swati holds an MBA (Finance) from the University of Wales in UK, and is a CPA from the State Board of Colorado.

Patrick Ballantyne

Patrick was appointed CEO of RIBO in January 2016, and previously served as RIBO’s General Counsel from February 2005. Prior to that, Patrick was a regulatory consultant, assisting financial industry participants to restructure their regulatory compliance regimes in response to audits by regulators. He has also served as Director, Regulatory and Market Policy with the Toronto Stock Exchange; Vice-President, Regulation for the Investment Funds Institute of Canada (IFIC); and Counsel with the Law Society of Upper Canada. Patrick is a graduate of the University of Windsor and was called to the Ontario Bar on 1987.

Harry Cayton

Harry Cayton is an internationally recognized advisor on professional regulation and governance. He developed the principles of “Right-touch regulation,” which have been adopted by professional regulators around the world.

 

Between 2007 and 2018, Harry was chief executive of the Professional Standards Authority in the UK. From 2002-2007 he was National Director for Patients and the Public at the Department of Health, and before that, chief executive of the Alzheimer’s Society. He chaired the National Information Governance Board for the UK’s National Health Service from 2007-2011 and the Social Work Regulation Oversight Group from 2011-2012. In 2015 he was awarded the CBE by Her Majesty the Queen, for services to health and regulation reform. He is a Fellow through Distinction of the Faculty of Public Health of the Royal College of Physicians. In 2017 he received the Outstanding Leadership Award from the World Health Executive Forum. He is an advisor to Thentia Global Systems Inc, as well as a member of the Press Regulation Panel in the UK and of the Oversight Board of the Journal of Medical Regulation.

 

Harry Cayton has led many reviews and inquiries and advised regulators and governments in the UK, Canada, Australia, Ireland, New Zealand, and Hong Kong. The report of his inquiry into the Health Professions Act in British Columbia was published by the Minister of Health in April 2019 and has led to dramatic modernization of BC’s health regulatory framework. He is currently advising a number of regulatory organizations in Canada and the government of Yukon. His governance review of the Law Society of British Columbia was completed in December 2021 and of the Ontario College of Social Workers and Social Care Workers, jointly with Deanna Williams, in May 2022.

Tanya Chu

Tanya joined RIBO in November 2023, as Compliance Manager in the Conduct, Compliance and Investigations Department. Prior to that, Tanya was an investigator, where she conducted investigations for several regulatory organizations, assisted in negotiating resolutions on complex matters, and appeared before the Health Professions Appeal and Review Board (HPARB). She also served as clerk at the Law Society Tribunal, supporting adjudicators and benchers and representing the tribunal at hearings. Tanya is a graduate of York University and Osgoode Hall Law School.

Joseph Fernandez

Joseph is the AIC’s Registrar. He has 38 years of regulatory experience with the federal and provincial governments and with professional organizations in multiple capacities. Joseph has been involved in many inter-jurisdictional projects like the Pan-Canadian Competency profiles for real estate and mortgage broker professionals, and led the development of the Education Code of Conduct for Learner, which won the 2012 CLEAR Regulatory Excellence Award and other awards from ARELLO, Hermes Creative, and Brandon Hall.

Kirk Huxley

Photo of Kirk HuxleyKirk Huxley joined the Insurance Council of British Columbia as the Manager of Investigations in April 2023. Previously, Kirk worked at the Insurance Corporation of British Columbia for 30 years. Most of that time was spent as an investigator and Special Provincial Constable with the Special Investigation Unit. He was a Section Manager of an Investigations Team and has extensive experience investigating insurance fraud and insurance-related organized crime.

Shannon Kelley

Shannon joined Parlee McLaws as an associate in 2003 following the completion of her articles with the firm. She has focused her practice in the area of civil litigation, with a primary emphasis on oil and gas litigation and insurance defence matters.

 

In the insurance context, Shannon has over 20 years of practice with claims involving:
• Professional negligence
• Product liability
• Occupier’s liability
• Commercial host liability
• Property damage
• Municipal claims
• Coverage issues
• Personal injury claims

 

Shannon has appeared at all levels of Court in Alberta, as well as represented clients in proceedings before the Alberta Energy Regulator. In addition, Shannon has resolved many issues for her clients through judicial dispute resolutions and mediations. She is also trained in collaborative law, where the lawyers work together with their respective clients to try and resolve matters prior to litigation.

 

In addition to her work as a lawyer, Shannon serves on the Board of Directors for the PREP Program, which is a resource centre for families of children with Down syndrome, and where her daughter attends for various programs. In her spare time, she enjoys golfing with her husband, walking her very energetic dog, Jack, and hanging out with her daughter, who is the coolest kid she knows.

Jason Kully

A partner at Field LLP, Jason devotes a significant portion of his practice to advising clients in the practice area of professional regulation.

 

Jason serves as a legal advisor for a variety of professional regulatory organizations across many different professions, in matters involving governance, conduct and discipline, policies and procedure, privacy, and registration. Jason is one of the authors of The Law of Regulatory Investigations in Canada, along with Jim Casey, KC and Michelle Casey; the book focuses on legal issues that arise during investigations rather than during the adjudicative phase, and takes a multi-disciplinary approach since the legal issues that arise across regulatory regimes are similar. Jason also co-authored The Annotated Health Professions Act—with Jim Casey, KC, Katrina Haymond, KC and Gregory Sim—which was published by Thomson Reuters in 2020 and is a practical guide for legal counsel and regulators, and includes extensive annotations, commentary, templates and flowcharts.

 

Jason believes in staying informed and frequently writes articles on recent developments in professional regulation. He has also provided training on a variety of topics.

Kelvin Lai

Photo of Kelvin LaiKelvin Lai is a Legal Counsel with the Insurance Council of BC. Before his current role, Kelvin had worked at the Insurance Corporation of BC and Engineers and Geoscientists BC.

 

Outside of work, Kelvin is an avid basketball and soccer fan. Kelvin also enjoys travelling the world and trying new cuisines with his wife.

Brent Rathgeber

Brent Rathgeber was born in Melville, Saskatchewan in 1964. After graduating from Melville Comprehensive School in 1982, he obtained a Bachelor of Arts Degree in Public Administration and a Bachelor of Laws Degree from the University of Saskatchewan.

 

Brent was admitted to the Law Society of Alberta in 1991; his practice has been primarily as a litigator.

 

Brent was elected to the Alberta Legislature in 2001 (MLA for Edmonton-Calder). He chaired the 2002 review of the Freedom of Information and Protection of Privacy legislation.

 

Brent was recognized for his legal skill and service to the community by being appointed Queen’s Counsel in 2001 (redesignated as King’s Counsel in 2022).

 

Brent was elected to the Parliament of Canada in 2008 and re-elected in 2011 (MP for Edmonton-St. Albert). Brent spent five years on the House of Commons Justice Committee, and in 2011, was selected to sit on the Supreme Court of Canada Selection Committee, which after an exhaustive search, resulted in the appointment of two Supreme Court Justices.

 

In 2014, Brent published his first book: Irresponsible Government—The Decline of Parliamentary Democracy in Canada, which chronicles the devolution of Parliamentary supremacy and transition to Executive Government. The treatise was shortlisted for the Kobo Canadian Emergent Author Prize (NonFiction Category).

 

In 2014, Brent was awarded the honour of “Member of Parliament who best represents Constituents” by Maclean’s Magazine and voted on by fellow Members of Parliament.

 

After leaving public life in 2015, Brent retooled his legal skill set and became a Mediator, Collaborative Lawyer and Arbitrator. In 2017, Brent was appointed to the Edmonton Assessment Review Board to adjudicate property tax assessment disputes. In 2018, Brent was appointed the first-ever Ethics Advisor to the elected members of Edmonton City Council, providing legal and ethical advice to Members of Council.

 

In 2019, Brent was hired by the Alberta Insurance Council as in-house Counsel and Director of Policy. In February 2021, he was promoted to Chief Operating Officer and General Counsel and is now the AIC’s General Counsel, Corporate Secretary, and VP for Legal and Corporate Affairs. AIC is the regulator for all insurance intermediaries in Alberta.

 

Brent currently sits on the Northern Alberta Business Incubator (NABI) Board and, pre-COVID, was an active member of T8N 100 Men, raising money for worthwhile causes in St. Albert and Sturgeon County. Brent lives in Edmonton with his spouse, Katrina Black. In his spare time, Brent enjoys sports, music, reading nonfiction, and hanging with his very spoiled Beagle, Fozzie Bear.

Sandy Surette

Sandy Surette joined the Insurance Council of British Columbia in 2012 and worked as both a Compliance Officer and investigator before becoming the Manager of Compliance, Professional Conduct in November 2022.

 

Prior to joining the Insurance Council, Sandy worked in the life and health insurance industry for over 20 years as a licensed life and accident and sickness insurance agent and earned her Certified Employee Benefits Specialist (CEBS) designation in 2009.

Kimberley Van Buuren

Kimberley is an Associate with Parlee McLaws. She began her legal career with a multi-national firm in Toronto in 2010. Following her relocation to Calgary in 2013, she continued her legal career in both private practice and as in-house counsel for one of Canada’s largest insurance companies. She joined Parlee McLaws as an Associate in 2023.

 

Kimberley’s legal practice primarily focuses on litigation, specializing in insurance defence and commercial litigation. While Kimberley is well versed in the procedures of litigation, she also has extensive experience with alternative dispute resolution forums, such as settlement meetings, judicial dispute resolutions, and mediations. In addition to her extensive ADR experience, she completed her formal mediation training with the ADR Institute of Canada (ADRIC) and the ADR Institute of Alberta (ADRIA) and offers her services as a mediator.

 

In her spare time, Kimberley enjoys chasing her family down the ski hill, cycling, walking the family dog, and knocking the ball around on the golf course.

Transportation

Attendees renting a car or driving:
Parking at the Rimrock is available for $25 daily (self-parking) or $39 daily (valet parking). Parking rates will applied directly to your guest room.

Attendees without a vehicle:
The nearest major airport to Banff is the Calgary International Airport (YYC), and there are a number of bus and shuttle services from the Calgary airport to Banff:

  • Brewster Express (departures approximately every 1.5 hours; view the schedule here)
  • Banff Airporter (departures approximately every hour; view the schedule here)

There are also private van, sedan, or minibus options available via the above services and others like the Airport Shuttle Express. Visit Banff & Lake Louise Tourism for more options on how to get to Banff without a vehicle.

Registration deadline: 11:59 pm on April 21, 2024