Integrated Due Diligence For Financial Institutions

June 6 – 7,  2018 – Toronto

Risk management is a key component of every financial institution’s governance framework. To identify, assess and manage risk effectively, risk-data must be collected, processed, aggregated and reported in a secure and well-controlled environment.  Additionally, compliance with regulations such as risk-based capital rules, specifically require challenging data quality and modeling standards to be met.

This seminar addresses best practices with respect to steps required to turn source data into reliable information that can be used to enhance risk management and decision-making processes at financial institutions, and to comply with federal regulations and international standards. During this session, we will review Risk Data Management along the spectrum of governance:  identification, collection, tracking, modelling, internal/external reporting and impacts on regulatory capital.

Know before you go!  A thorough due diligence review is the most effective way to avoid costly surprises and reputational damage due to issues that are not detected before major decisions are made. Whether your institution is involved in a major acquisition deal or launching a new product, a risk-based due diligence process will provide assurance that all high-risk items have been identified, assessed and addressed, prior to approval and implementation.

This seminar covers all aspects of the due diligence process applied by financial institutions, in either a proprietary or fiduciary capacity, before major business decisions are made.  In addition to familiarizing participants with the overall due diligence process, this course addresses specific risks related to mergers and acquisitions, know your customer, new product approval and outsourcing.

Registration Fees

March 28, 2018
April 16, 
April 16, 2018
Integrated Due Diligence For Financial Institutions $1,899.00 + HST $1,999.00 + HST $2,299.00 + HST

Our HST Number: R862562543

Group Discount: Fourth Delegate FREE!

If three individuals from one organization register at the same time, a fourth person may also be registered to attend free of charge. The free registration must be of equal or lesser value than the paid registrations. Please contact us to arrange for attendance of larger groups.

Your Registration Includes

Registration fees include all conference materials, continental breakfast, lunch and refreshments. Parking and accommodation are not included.


As a registered delegate, you will receive a complete set of conference materials. These materials will serve as an invaluable guide, both during and after the event. The workbook will be distributed on the morning of the first day beginning at 8:00 a.m.

Cancellation Policy

Substitutions may be made at any time. If you are unable to attend, please make cancellations in writing and fax to (416) 504-6978 prior to 5:00 p.m. on May 23, 2018. A credit voucher will be issued to you for the full amount, redeemable against any other Acumen conference. If you prefer, you may request for a refund of fees paid less $250 administration fee. Registrants who cancel after above date will not be eligible to receive any credits or refunds and are liable for the entire registration fees.

Confirmed delegates who do not cancel before May 23, 2018, and fail to attend will be liable for the entire registration fees.

Acumen Information Services reserves the right to change the date, location and content for the event(s) offered herein without further notice and assumes no liability for such changes.

Early Bird Registration Discount

Register prior to to May 11, 2018, and you will obtain the following additional savings:

Second delegate: $100  Discount
Third delegate: $150 Discount
Fourth delegate: FREE

Please indicate that you are eligible for this offer on the registration page or your registration form if you are mailing in your registration.

Location – Accommodation

The conference will be held at a convenient locations in downtown Toronto. Venue information and special conference accommodation pricing details will be provided up on confirmation of the venue.

Delegates can register at the Acumen service desk beginning at 8:00 a.m. on the morning of the first day of the conference. Registration fees do not include hotel accommodation.

Program - June 6

Course Agenda


Setting the Stage: Basics of Due Diligence

  • Definitions
  • Types of Due Diligence
  • Significant Steps in the Process
  • Legal and Regulatory Background
  • Risk-Based Due Diligence
  • Risk Assessment and Prioritization

Due Diligence Reports

  • Discussion of the Relevance for Financial Institutions
  • Due Diligence in Mergers & Acquisitions
  • Financial Matters
  • Technology/Intellectual Property
  • Customer/Sales
  • Strategic Fit
  • Material Contracts
  • Employee and Management Issues
  • Litigation
  • Tax Matters
  • Antitrust and Regulatory Issues
  • Insurance

This two day course runs from 9:00 a.m. – 4:30 p.m. each day including lunch as well as morning and afternoon breaks.

Program - June 7

Course Agenda


Customer Due Diligence

  • Customer Identification Program (CIP)
  • Covered customers
  • Data Collection: individuals, institutions, official/governmental organizations
  • Verification: documentary vs non-documentary
  • Customer Due Diligence (CDD)
  • Enhanced Due Diligence (EDD)
  • Logical Consistency
  • Additional Measures
  • Data from External Financial Institutions
  • Service Providers
  • High Risk Accounts

Product Due Diligence

  • Product Development Life Cycle
  • Policy, Governance and Methodology
  • Product Development Process
  • Risk Assessment Protocol
  • New Product Approval
  • New Product Implementation
  • Post-implementation Review
  • Product Monitoring

Due Diligence of Third Party Providers

  • Strategies and Goals
  • Legal and Regulatory Compliance
  • Financial Condition
  • Business Experience and Reputation
  • Fee Structure and Incentives
  • Qualifications, Backgrounds, and Reputations of Company Principals
  • Risk Management
  • Information Security
  • Management of Information Systems
  • Resilience
  • Incident-Reporting and Management Programs
  • Physical Security
  • Human Resource Management
  • Reliance on Subcontractors
  • Insurance Coverage
  • Conflicting Contractual Arrangements with Other Parties


This two day course runs from 9:00 a.m. – 4:30 p.m. each day including lunch as well as morning and afternoon breaks.



Course Leader
Mario Mosse
President, MMosse Consulting, LLC

Mario Mosse has 40 years of experience in enterprise risk management, internal audit and regulatory compliance at financial services companies. He is the president of MMosse Consulting, LLC, where he provides risk management advice and training to the financial services industry. Previously, he was the head of Operational Risk Management at Prudential Financial, Inc.  Prior to joining Prudential,  Mr. Mosse was with The Chase Manhattan Bank, where he held several senior positions in Internal Audit and Risk Management, including South America Regional Audit Executive and Head of Risk Management for the Corporate Finance Sector. Mr. Mosse has been actively involved in provided information session for PRMIA and other risk management organizations.

Who Should Attend

This conference has been specifically designed for, and in consultation with, experts in accounting for financial institutions as well as standard setters. The event has been developed with the professional responsibilities of our audience as our focus. As well, auditors, financial advisors, analysts, lawyers and other advisory professionals would benefit from staying current on the information provided at this timely event. In particular, our experience indicates that individuals in the following positions would mostly likely be in attendance:

  • Chief Financial Officers
  • Chief Risk Officers
  • VPs, Directors and Managers
    • Risk Management
    • Financial and Regulatory Reporting
    • Finance
    • Regulatory Compliance
  • Risk Managers
  • Actuaries
  • Internal Auditors
  • Audit Committee Members
  • Audit and Assurance Professionals
  • Industry Regulators and Standard Setters

To obtain a copy of the brochure, please send a request to the email below or click on the image of the brochure on this page.

e-mail at info@acumeninformation.com

Comments from Past Delegates to Acumen Conferences

"…provided a very good high level summary of the key impacts of IFRS to financial institutions.”

Associate Chief Accountant, Bank of Montreal

“Presentations were clear even though topics were complex.”

Chief Financial Officer, Société Générale

“Best conference I’ve ever attended.”

Senior Manager, Enterprise Hedge Accounting and Derivative Reporting, Royal Bank of Canada

“Suffice it to say that the conference delivered on my expectations…A lot has been taken away from this conference…$ well spent…”

V.P. Risk Management Advisory, New Brunswick Credit Union Stabilization Board

“Finally a course that communicates true technical knowledge”,

Director, Operations Finance NAV Canada

“This seminar was fantastic – very informative and has some extremely interesting and knowledgeable speakers.”

Manager, Corporate Accounting Brascan Power

“Great balance between theory and practical application/issues. Perfect level of detail…”

Treasury Manager CHC Helicopter Corporation
“Speakers were very knowledgeable, materials were current…examples and materials were relevant and well presented.”

Derivatives Accountant, Agrium Inc.

To submit questions to be answered at the conference, please send us an email at this address at  info@acumeninformation.com