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Compliance & Legal Section



A key component of an effective self-regulatory organization is the development of rules with policy committee involvement. Policy staff perform the key role of coordinating the rule development process in consultation with the appropriate committees. 

 

 

 Mandate

 
Mandate: The mandate of the Compliance and Legal Section (CLS) is to:
  • advise on the development of rules and policies on business conduct, registration and enforcement related matters affecting Dealer Members; and
  • provide a forum for the exchange of information relating to complying with IIROC and other requirements that relate to business conduct, registration and enforcement related matters.
Reports To: Staff of IIROC
 
 

 Structure

 

 

Specific Responsibilities: CLS provides advice on the development of rules that are of particular relevance to senior compliance officers and other individuals having similar responsibilities. CLS is also responsible for establishing sub-committees to consider issues and to make recommendations on specific initiatives designed to address new and changing compliance developments in the industry.


Finally, CLS is responsible for organizing seminars (including the annual Compliance and Legal Section Education Seminar) on compliance and general securities industry issues to assist in educating IIROC-regulated persons.
 
Membership: Membership in the Section shall be restricted to senior compliance officers or other persons having similar responsibilities, regardless of title who are employed by Dealer Members or Marketplace Members.
 
Ex-officio Members
  • President (or another officer of IIROC designated by the President); and
  • Chair of the Board (or another member of the Board designated by the Chair or the Board).
Liaison Officers: Liaison officers shall be appointed by the Section to represent The Bourse de Montreal.
Term: No term or limit on the number of terms.
 
Nominating Process: Each Member shall be permitted to nominate a maximum of three persons for membership in the Section, providing they meet the membership requirements. Where a Member has nominated either two or three persons to be members of the Section, one of the nominations must be designated as the "Primary Member" and the other nomination(s) must be designated as the "Alternate Member(s)".
 
Appointment Process: All nominees are reviewed and appointed by the Section itself.
 
Voting Process: Each Member with members in the Section shall be entitled to one (1) vote at the Section's meetings; provided that if any two (2) or more Members are affiliates of each other, such Members shall jointly be entitled to one (1) vote at the Section's meetings. The Chair shall only vote in the case of a tie vote.
 
Meeting Schedule: Regular quarterly meetings and special meetings at the call of the Chair.
 
Chair and Vice-Chair: The Chair and Vice-Chair of the Committee shall hold office for a two-year term commencing on the date of the CLS Annual Meeting of the relevant year. In order to ensure continuity, the Vice-Chair will assume the role of Chair of the Executive Committee for the subsequent two-year period.
 
Executive Committee: The Section shall be governed by an Executive Committee comprised of the Chair, Past-Chair and Vice-Chair, together with 12 additional members. Only one person from each member may sit on the Executive Committee at any one time, unless a specific exemption is provided by majority vote of the Committee.
 
A Nominating Committee comprised of the Chair and Vice-Chair shall submit to the Section Annual Meeting a list of persons that it recommends to serve on the Executive Committee. In determining its recommended list of persons the Nominating Committee shall ensure that there is equitable representation on a geographic (regional versus national dealers), business line (institutional versus retail, debt versus equity versus derivatives) and business size (small, medium and large sized firms) basis.
 
Sub-Committees: Standing Sub-Committees may be established at the initiative of Committee. The existing Sub-Committees are:
  1. Education Sub-Committee, which develops education programmes and organizes Section educational initiatives including the annual Compliance and Legal Section Education Seminar. Member list
  2. Institutional Sub-Committee, which provides specialized advice on issues and policy development initiatives relating to institutional client business. Member list
  3. Money Laundering Sub-Committee, which provides specialized advice on issues relating to Dealer Member compliance with the federal anti-money laundering legislation requirements.
    Member list
  4. Registration Sub-Committee, which provides specialized advice on issues and policy development initiatives relating to individual registration matters. Member list
  5. Order Execution Only Sub-Committee, which provides input and direction on industry issues, regulatory policy development initiatives, and compliance best practices guidance relating to the Order Execution Only client business. In addition, the Sub-Committee will provide a forum for the exchange of information relating to complying with IIROC rules and other requirements that are unique to Order Execution Only Dealer Members on topics such as business conduct, registration, trading, and enforcement related matters.
  6. Seniors Issues Sub-Committee, which identifies, assesses and provides advice on compliance, supervisory and other practices used by IIROC Dealer Members in serving retail clients who are seniors. 

 

 

 Executive

 

Executive

  
Jane Ratchford, ChairScotia Capital Inc.
Kelley Hoffer, Vice-ChairTD Securities Inc.
Joe BajicAssante Capital Management Ltd.
Torstein BraatenTriAct Canada Marketplace LP
Chris ClimoCIBC World Markets Inc.
Lou D'SouzaCormark Securities Inc.
Mary Joyce EmpensandoQuestrade, Inc.
Patricia KloepferInvestors Group Securities Inc.
David LangRBC Dominion Securities Inc.
Lorne SwitzerBMO InvestorLine Inc.
Kuno TuckerITG Canada Corp.
Ruby WallisFirstEnergy Capital Corp.
Alexandra WilliamsQtrade Securities Inc.
Jamie Bulnes, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Richard Corner, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Robert Keller, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Sonja McCreary, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Paul Riccardi, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Sherry Tabesh-Ndreka, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Joe Yassi, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
 

 Primary Members

 

Primary Members

  
Jane Ratchford, ChairScotia Capital Inc.
Kelley Hoffer, Vice-ChairTD Securities Inc.
Adam AbramsonTrapeze Capital Corp.
Govind AchyuthanAltaCorp Capital Inc.
Leslee AltinPeters & Co. Limited
Joe BajicAssante Capital Management Ltd.
Jean-François BernierInteractive Brokers Canada Inc.
Noah BillickMacDougall, MacDougall & MacTier Inc.
David BlanchardMD Management Limited
Torstein BraatenTriAct Canada Marketplace LP
Kevin BreslerRBC Direct Investing Inc.
Thomas BriantEdgecrest Capital Corporation
John BrightenGlobal Securities Corporation
Marian BuklisAcker Finley Inc.
Donald BurwellEdward Jones
Louis CavalarisDundee Securities Ltd.
Inna CebanAll Group Financial Services Inc.
Mark CensaleMackie Research Capital Corporation
Leo CicconeGMP Securities L.P.
Yann CittéLombard Odier Securities (Canada) Inc.
Chris ClimoCIBC World Markets Inc.
Ruth Ann CompanionIndustrial Alliance Securities Inc.
Helen CorriganRothenberg Capital Management Inc.
Catherine DavisCaldwell Securities Ltd.
Cheryl de MontignyOctagon Capital Corporation
Sesto DeLucaW.D. Latimer Co. Limited
Gillian DingleCIBC Investor Services Inc.
Noah DodekLeede Financial Markets Inc.
Jennifer DohertyJC Clark Ltd.
Brian DriscollBurgeonvest Bick Securities Limited
Lou D'SouzaCormark Securities Inc.
Louise DuchesneLightyear Capital Inc.
Julie EisenstatNational Bank Financial Inc.
Mary Joyce EmpensandoQuestrade, Inc.
Christopher EnrightAligned Capital Partners Inc.
Alison FletcherMandeville Private Client Inc.
Robert GoldbergCaldwell Securities Ltd.
Daniel GordonFriedberg Mercantile Group Ltd.
Adrian HavilandCitigroup Global Markets Canada Inc.
Lawrence HopkinsonHSBC Securities (Canada) Inc.
Helen HsiaCanadian ShareOwner Investments Inc.
Sheryl HunterRogers Group Investment Advisors Ltd.
Frank HurstIPC Securities Corporation
To-Linh HuynhOMG Wealth Management Inc.
Sindy JaggerK.J. Harrison & Partners Inc.
Pauline JarryMaison Placements Canada Inc.
Nick KaterinakisGoldman Sachs Canada Inc.
John KennedyBarclays Capital Canada Inc.
Mark KentPortfolio Strategies Securities Inc.
Patricia KloepferInvestors Group Securities Inc.
David LangRBC Dominion Securities Inc.
Martin LangUnion Securities Ltd.
Deodat LePictet Canada L.P.
Radek LoudinDesjardins Securities Inc.
Mandy MacCauleyHarbourfront Wealth Management Inc.
Bruce MarandaCanaccord Genuity Corp.
Sandy MartinRaymond James Ltd.
Suzanne MathersGary Bean Securities Ltd.
Robert MatthewsyourCFO Advisory Group Inc.
Myja MillerAcumen Capital Finance Partners Limited
Martin MiyataWorldsource Securities Inc.
Bryan MoffittFidelity Clearing Canada ULC
Tom MonahasClarus Securities Inc.
Peter PacholkoOdlum Brown Limited
Tracey PatelJ.P. Morgan Securities Canada Inc.
Margo PaulTD Waterhouse Canada Inc.
Joe PavaoSolium Financial Inc.
Cliff PereiraChippingham Financial Group
Michael PetroccoBMO Nesbitt Burns Inc.
Nicola PomponioCredit Suisse Securities (Canada), Inc.
Brian ProsserB2B Bank Securities Services Inc.
Leo PurcellRichardson GMP Limited
Rahim RajwaniWolverton Securities Ltd.
Michael RolandParadigm Capital Inc.
Jehred RossIncapital Canada ULC
Yves RuestLaurentian Bank Securities Inc.
Craig SchleyerWatt Carmichael Inc.
David SchnarrMaple Securities Canada Limited
Brian SmallhornMorgan Stanley Canada Limited
Jane SmithBeacon Securities Limited
Daniel SooleyDeutsche Bank Securities Limited
Jean-Pierre St-CyrNewedge Canada Inc.
Lorne SwitzerBMO InvestorLine Inc.
Christine TabbertManulife Securities Incorporated
Richard ThomasPI Financial Corp.
Bruce ThompsonHaywood Securities Inc.
Kuno TuckerITG Canada Corp.
Anita TylerKingsdale Capital Markets Inc.
Katharine VarikCumberland Private Wealth Management Inc.
Kambiz Vatan-AbadiBBS Securities Inc.
Ruby WallisFirstEnergy Capital Corp.
Sharon WatkinsSandstone Asset Management Inc.
John WebsterQueensbury Securities Inc.
Alexandra WilliamsQtrade Securities Inc.
Irene WinelMerrill Lynch Canada Inc.
Thomas WuIntegral Wealth Securities Limited
André ZangaCasgrain & Company Limited
 

 Alternate Members

 

Alternate Members

  
Ella AdamMackie Research Capital Corporation
David AdamsManulife Securities Incorporated
Joy AllenBMO InvestorLine Inc.
Joya BabaGlobal Securities Corporation
Jean-Paul BachelleriePI Financial Corp.
Gary BeanGary Bean Securities Ltd.
Mary BeckOdlum Brown Limited
Holly BensonPeters & Co. Limited
Jean BerardLaurentian Bank Securities Inc.
Duncan BoggsGlobal Securities Corporation
Martin BoileauNewedge Canada Inc.
Wayne BoltonEdward Jones
Daniel BoweringRichardson GMP Limited
Gary BoydDundee Securities Ltd.
David BrackenW.D. Latimer Co. Limited
Richard ButterworthWolverton Securities Ltd.
John CambareriLombard Odier Securities (Canada) Inc.
Nick CardinaleRBC Dominion Securities Inc.
Jean CaronNational Bank Financial Inc.
Andrew CarringtonState Street Global Markets Canada Inc.
Richard CarterLeede Financial Markets Inc.
Victor ChanSalman Partners Inc.
Lindsay ChaseMaple Securities Canada Limited
Carol ChurchBMO Nesbitt Burns Inc.
Jillian ClarkCIBC Investor Services Inc.
Lloyd CostleyRaymond James Ltd.
Pauline DavisonQueensbury Securities Inc.
Christopher DimitropoulosHSBC Securities (Canada) Inc.
Maria DiVittorioRichardson GMP Limited
Erica DrudiB2B Bank Securities Services Inc.
Charles DunlapHaywood Securities Inc.
Christopher EverestOctagon Capital Corporation
Lionel FoglerKingwest & Company
Claudia GourdePictet Canada L.P.
Darren GrossATB Securities Inc.
Sally Haldenby HabaCaldwell Securities Ltd.
Christopher HillGMP Securities L.P.
Laura JessTrapeze Capital Corp.
Michael KazmierowskiB2B Bank Securities Services Inc.
Inna KholodenkoQuestrade, Inc.
Vesna KusicRBC Direct Investing Inc.
Samuel LeeMerrill Lynch Canada Inc.
Gary LegaultIPC Securities Corporation
Douglas LeylandyourCFO Advisory Group Inc.
Gordon LudolphCormark Securities Inc.
Bill LyonsCIBC World Markets Inc.
David MacFadyenOMG Wealth Management Inc.
Mark MaisonvilleHaywood Securities Inc.
Michelle MartinAcumen Capital Finance Partners Limited
Susan MartinBeacon Securities Limited
Laurinda MartinsKingwest & Company
Jeanette MatiasHSBC Securities (Canada) Inc.
Nadyne McConkeyRBC Direct Investing Inc.
Donald MetcalfeUnion Securities Ltd.
Lafleche MontreuilDesjardins Securities Inc.
James MoonAll Group Financial Services Inc.
Terry MooreCIBC Investor Services Inc.
Sharon MorrisroeRaymond James Ltd.
John R. MortonScotia Capital Inc.
Darlene MunroInvestors Group Securities Inc.
Danielle NardiAligned Capital Partners Inc.
Hinson NgFirstEnergy Capital Corp.
Scott NorrisIndustrial Alliance Securities Inc.
Gregory NowakowskiTD Securities Inc.
Johanna O'ReillyDeutsche Bank Securities Limited
Lisa PageFidelity Clearing Canada ULC
Tushar PaiAssante Capital Management Ltd.
Brian ParkerAcumen Capital Finance Partners Limited
Dave PersaudBMO Nesbitt Burns Inc.
Ashley PetersSolium Financial Inc.
Brent PickerlSandstone Asset Management Inc.
Shaine PollockRBC Dominion Securities Inc.
Sylvain PortelanceCasgrain & Company Limited
Monica PuAll Group Financial Services Inc.
Brian PynnATB Securities Inc.
Kim RitchieGMP Securities L.P.
Ali RouhaniBarclays Capital Canada Inc.
James RudderhamMD Management Limited
Vivene SalmonMerrill Lynch Canada Inc.
Mark SaracinoMacDougall, MacDougall & MacTier Inc.
Marie-Noelle SavoieMacDougall, MacDougall & MacTier Inc.
Susan SchulzeIPC Securities Corporation
Rena ShadowitzBMO Nesbitt Burns Inc.
Jonathan SherwinUBS Securities Canada Inc.
Kimberly ShiltonBMO InvestorLine Inc.
Christopher ShumCredential Securities Inc.
Barbara SimpsonRogers Group Investment Advisors Ltd.
Roxanne SponchiaCredential Securities Inc.
Geoffrey StaynerHampton Securities Limited
Angela StirpeCaldwell Securities Ltd.
Kari TavenerScotia Capital Inc.
Danielle TaylorTD Waterhouse Canada Inc.
Naresh TejpalCIBC World Markets Inc.
Christy TrudeauQuestrade, Inc.
Chantal VennatDesjardins Securities Inc.
Paige WaddenWorldsource Securities Inc.
Syed WahabQueensbury Securities Inc.
Brent WalkerJordan Capital Markets Inc.
Michael WardParadigm Capital Inc.
Scott WardleW.D. Latimer Co. Limited
Jennifer WesselsyourCFO Advisory Group Inc.
Jason WilsonIncapital Canada ULC
Brent WolvertonWolverton Securities Ltd.
Bardya ZiaianBBS Securities Inc.
 

 Education

 

Education

  
Joy Allen, ChairBMO Financial Group
Bonnie Henry, Vice-ChairKnowledge First Financial
Shailesh AmbikeRBC Dominion Securities Inc.
Denise CarsonBMO Nesbitt Burns Inc.
Debbie CharlesBMO Financial Group
Shawn CollettGMP Securities L.P.
Andrew DundassUBS Securities Canada Inc.
Deirdre FernandesScotiabank
Mark HeaneyQtrade Securities Inc.
Paula HewittDundee Securities Ltd.
Martin MiyataWorldsource Securities Inc.
Ashley PetersSolium Financial Inc.
DIANA QUINNGMP Securities L.P.
Farah SheikhTD Securities Inc.
Lynne SuttonNational Bank Financial Ltd.
Danielle TaylorTD Waterhouse Canada Inc.
Todd WebbDWM Securities Inc.
Robert Keller, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
 

 Institutional

 

Institutional

  
Christopher Hill, ChairGMP Securities L.P.
Ella AdamMackie Research Capital Corporation
Zahra BhutaniNational Bank Financial Inc.
Louis CavalarisDundee Securities Ltd.
Carol ChurchBMO Nesbitt Burns Inc.
Leo DroriInstinet Canada Limited
Bertrand D'SouzaCanaccord Genuity Corp.
Lou D'SouzaCormark Securities Inc.
Lawrence HarasymJonesTrading Canada Inc.
Adrian HavilandCitibank Canada Securities Limited
Lawrence HopkinsonHSBC Securities (Canada) Inc.
Nick KaterinakisGoldman Sachs Canada Inc.
Edward KayMerrill Lynch Canada Inc.
Patricia KeaysRaymond James Ltd.
Deodat LePictet Canada L.P.
Patrick MillsBeacon Securities Limited
Lafleche MontreuilDesjardins Securities Inc.
Hinson NgFirstEnergy Capital Corp.
Gregory NowakowskiTD Securities Inc.
Tracey PatelJ.P. Morgan Securities Canada Inc.
Shaine PollockRBC Dominion Securities Inc.
Nicola PomponioCredit Suisse Securities (Canada), Inc.
Jehred RossIncapital Canada ULC
Ali RouhaniBarclays Capital Canada Inc.
Jonathan SherwinUBS Securities Canada Inc.
Douglas SimsovicPavilion Global Markets Ltd.
Brian SmallhornMorgan Stanley Canada Limited
Daniel SooleyDeutsche Bank Securities Limited
Kari TavenerScotia Capital Inc.
Naresh TejpalCIBC World Markets Inc.
Kuno TuckerITG Canada Corp.
Jamie Bulnes, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Richard Corner, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Robert Keller, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Sonja McCreary, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
 

 Money Laundering

 

Money Laundering

  
Amanda Archibald, ChairRaymond James Ltd.
Darrell Bartlett 
Kathleen BlackCWM Capital Inc.
Daniel BoweringRichardson GMP Limited
Henrik BruusgaardRichardson GMP Limited
Keith CouttsCIBC World Markets Inc.
Kimberley Dinsmore 
Kevin DreyerTD Securities Inc.
Rita GianoneTD Securities Inc.
Sam GoodingRaymond James Ltd.
Eliza Guerdjikova 
Matthew HorwoodWatt Carmichael Inc.
Mary Ingarao 
Ging KallosBMO Nesbitt Burns Inc.
Steve LashbrookMerrill Lynch Canada Inc.
Gary LegaultIPC Securities Corporation
Jim MillerCanaccord Genuity Corp.
Suzanne PammettRBC Dominion Securities Inc.
Nicola PomponioCredit Suisse Securities (Canada), Inc.
Kelly PottsAssante Capital Management Ltd.
Matt RaynierBMO Nesbitt Burns Inc.
Jonathan SherwinUBS Securities Canada Inc.
Alan TunCitibank Canada Securities Limited
Kris Dameron, SRO Representative 
Mark Stechishin, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Sherry Tabesh-Ndreka, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
 

 Registration

 

Registration

  
Kimberly Shilton, ChairBMO Nesbitt Burns Inc.
Ella AdamMackie Research Capital Corporation
Pavan BalCanaccord Genuity Corp.
Sheri BeerJones, Gable & Company Limited
Debbie BellCSI Global Education Inc.
Danièle BergeronLaurentian Bank Securities Inc.
Christopher BhallaOANDA (Canada) Corporation ULC
Merl BistoyongManulife Securities Incorporated
Mark BoucherDundee Securities Ltd.
Marcia BrownAssante Capital Management Ltd.
Trish BrunoIPC Securities Corporation
Theresa Camaya 
Glen CameronCIBC Investor Services Inc.
Francine CasaleCredit Suisse
Lily ChanPenson Financial Services Canada Inc.
Diana ChirciuATB Securities Inc.
Robin CooperUBS Securities Canada Inc.
Michael DallaireMD Management Limited
Isabelle DesyDesjardins Securities Inc.
Jeevan DhamraitRaymond James Ltd.
Maria DiVittorioRichardson GMP Limited
Cherrie DominguezATB Securities Inc.
Clare DouglasUBS Securities Canada Inc.
Rhonda DoveCIBC World Markets Inc.
Wendyanne D'SilvaIPC Securities Corporation
Sue FeatherstoneFirst Leaside Securities Inc.
Marie GalochaMacquarie Capital Markets Canada Ltd.
Frances GameloDWM Securities Inc.
Trisha GrantCredit Suisse
Kiran GrewalTD Waterhouse Canada Inc.
Sophie GrondinEuro Pacific Canada Inc.
Darren GrossATB Securities Inc.
Julieta GuanlaoHSBC Securities (Canada) Inc.
Kimberly GuestCanaccord Genuity Corp.
Chrissy JonesPI Financial Corp.
Jennelyn JuguetaGMP Securities L.P.
Debra KerfontCSI Global Education Inc.
Irene KomoriOdlum Brown Limited
Sharon KretchmarCanDeal.ca. Inc.
CHANTALE LAMBERTLaurentian Bank Securities Inc.
Diane LamotheDesjardins Securities Inc.
Mary LeeHSBC Securities (Canada) Inc.
Mark LinkieScotia Capital Inc.
Hang LuongMerrill Lynch Canada Inc.
Paula MacciocchiMackie Research Capital Corporation
Robert MatthewsyourCFO Advisory Group Inc.
Alan McDermottDWM Securities Inc.
Nickesha McFarlaneMacquarie Private Wealth Inc.
Steve MontgomeryTD Securities Inc.
Scott MooreMacquarie Private Wealth Inc.
Cyndy MorrisonManulife Securities Incorporated
Jody NeJaimeUBS Securities Canada Inc.
Judy NicholsonEdward Jones
Bie OputuEdward Jones
Lisa PageFidelity Clearing Canada ULC
Nick PallottaTD Bank Financial Group
Carol PersaudRBC Direct Investing Inc.
Carol Petrenko 
Linda RaffaghelloCanDeal.ca. Inc.
Rachel RepstockHaywood Capital Markets
Edsel RizarriQtrade Securities Inc.
Brigitte RobyNational Bank Financial Inc.
Adriana RomanoGMP Securities L.P.
Elisabeth RutiglianoRBC Dominion Securities Inc.
Joanne SalituroDWM Securities Inc.
Tracey SambourneEdward Jones
Kim SchultzMD Management Limited
Brian SmallhornMorgan Stanley Canada Limited
Margaret StevensonMGI Securities Inc.
Laurie zzzPaklepa 
Nadia zzzTestani 
Janice Briggs, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Angie Foggia, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Laurie-Ann Gingras, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Lisa Mullen, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Josette Nagel, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Kerry Newman, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Lucy Pacheco, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
 

 Order Execution Only

 

Order Execution Only

  
Jean-François Bernier, ChairInteractive Brokers Canada Inc.
Jeff AblettCredential Securities Inc.
Vance BaumanBMO InvestorLine Inc.
Kevin BreslerRBC Direct Investing Inc.
John De RubertisNational Bank Direct Brokerage Inc.
Daniel Di FrancoScotia Capital Inc.
Christopher DimitropoulosHSBC Securities (Canada) Inc.
Mary Joyce EmpensandoQuestrade, Inc.
Lee MoritaCIBC World Markets Inc.
Danielle TaylorTD Waterhouse Canada Inc.
Kuno TuckerITG Canada Corp.
Alexandra WilliamsQtrade Securities Inc.
Jamie Bulnes, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Richard Corner, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Sherry Tabesh-Ndreka, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
 

 Seniors Issues

 

Seniors Issues

  
Craig Schleyer, ChairWatt Carmichael Inc.
Joe BajicAssante Capital Management Ltd.
Denise CarsonBMO Nesbitt Burns Inc.
Frank HurstIPC Securities Corporation
Mahsa IzadpanahScotia Bank
Bill LyonsCIBC Investor Services Inc.
Margo PaulTD Waterhouse Canada Inc.
Roxanne SponchiaCredential Securities Inc.
Lena ThibaultNational Bank Financial Inc.
Andrea WorkmanCIBC World Markets Inc.
Lina Barbusci, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Adrian Carter, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Richard Corner, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Robert Keller, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Joe Yassi, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
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