LEAD WITH CONFIDENCE: STRENGTHENING CONDUCT AND OVERSIGHT IN YOUR MORTGAGE BROKERAGE

Join us for FSRA’s Principal Broker Conference, designed for brokerage owners, principal brokers, chief compliance officers, team leads, directors, officers and partners.

Our line-up of industry and regulatory leaders will discuss practical approaches to navigating compliance and conduct challenges, strengthening hiring and supervision processes, enhancing consumer protection and product suitability assessment practices, and more. This event provides a great opportunity to network with your peers and the FSRA team.

Registration is now open for FSRA’s 2026 Principal Broker Conference. Space is limited. Each brokerage may register up to two key representatives. Registration closes on November 6, 2026 at 4:00pm.

Price: CA $199 + tax per person

Location: Universal Eventspace
6250 Highway 7, Vaughan, ON L4H 4G3

Details

Start: November 23, 2026

7:45 AM

End: November 23, 2026

4:45 PM

Agenda

Monday, November 23, 2026

7:45 AM — 8:45 AM

Registration / Continental breakfast begins

8:45 AM — 8:50 AM

Welcome

Jennie Hodgson, Senior Manager, Mortgage Brokering Conduct, Market Conduct

8:50 AM — 9:15 AM

Opening Remarks

Dexter John, Chief Executive Officer

9:15 AM — 9:35 AM

Greetings

Antoinette Leung, Executive Vice President, Market Conduct

9:35 AM — 10:30 AM

Panel discussion: Best business practices – for the sector, from the sector

Industry experts and FSRA discuss compliance best practices, emerging challenges, and effective regulator-industry collaboration.

Panelists:

Elaine Taylor, President, Mortgage Alliance (TMACC)

Mark Kerzner, Chief Executive Officer, The Mortgage Group (TMG)

Leah Zlatkin, Chief Operating Officer, Mortgage Outlet Inc.

Moderator:

Gina Stephens, Director, Mortgage Brokering Conduct, Market Conduct

10:30 AM — 10:50 AM

Break

10:50 AM — 11:30 AM

Presentation: FSRA enforcement in action

Learn 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

Michael Scott, Senior Legal Counsel, Legal and Enforcement

11:30 AM — 12:10 PM

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.

Yovanka McBean, Director, Licensing, Market Conduct

Gina Stephens, Director, Mortgage Brokering Conduct, Market Conduct

12:10 PM — 1:10 PM

Lunch

1:10 PM — 2:10 PM

Breakout session 1: More than a form: A sector-led approach to product suitability assessments

Industry 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:

FSRA ’s Technical Advisory Committee for Mortgage Brokering

Breakout sessions will run concurrently, with attendees participating in both sessions over the course of the day.

1:10 PM — 2:10 PM

Breakout session 2: AML Compliance featuring FINTRAC

FINTRAC 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 will run concurrently, with attendees participating in both sessions over the course of the day.

2:10 PM — 2:25 PM

Break

2:25 PM — 3:30 PM

Breakout session 1: More than a form: A sector-led approach to product suitability assessments

Industry 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:

FSRA’s Technical Advisory Committee for Mortgage Brokering

Breakout sessions will run concurrently, with attendees participating in both sessions over the course of the day.

2:25 PM — 3:30 PM

Breakout session 2: AML Compliance featuring FINTRAC

FINTRAC

Sue-Ling Yip, Partner, Regulatory Risk & Financial Crimes, Deloitte LLP

Breakout sessions will run concurrently, with attendees participating in both sessions over the course of the day.

3:30 PM — 3:40 PM

Presentation: Private lending mythbusters

Test your private mortgage lending knowledge as we debunk common industry myths.

Jennie Hodgson, Senior Manager, Mortgage Brokerage Conduct, Market Conduct

3:40 PM — 3:45 PM

Closing remarks

Antoinette Leung, Executive Vice President, Market Conduct

3:45 PM — 4:45 PM

Networking