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Conduct, Compliance and Legal Advisory Section



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Reports To

Member Regulation Policy

 


 

Specific Responsibilities

The Section advises on the development of rules and policies on business conduct, enforcement, and registration related matters affecting Dealer Members. And, it provides a forum for the exchange of information on complying with IIROC and other requirements that relate to business conduct, enforcement, and registration related matters.

 


 

Membership

Membership in the Section is restricted to senior business, legal and compliance officers or other persons having similar responsibilities, regardless of title who are employed by Dealer Members or Marketplace Members.

Standing Members:

  • President (or another officer of IIROC designated by the President)

  • Chair of the Board (or another member of the Board designated by the Chair of the Board)

Liaison Officers: A liaison officer shall be appointed by the Section to represent the Bourse de Montreal and the Canadian Investor Protection Fund.

 


 

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

The Vice-President, Member Regulation Policy will review all nominees and recommend appointments. The Senior Vice-President, Member Regulation will approve the appointments to the Section.

 


 

Show of Support

Each Member with members in the Section shall be entitled to one (1) show of support 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) show of support at the Section's meetings. The individual chairing the Section meeting (the Chair, Vice-Chair or his or her designate) shall only have a show of support in the case of a tiee.

 

 


 

Chair and Vice-Chair

The Chair and Vice-Chair of the Section shall hold office for a two-year term commencing on the date of the Section Bi-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.

 


 

Meeting Schedule

The Section will meet a minimum of three times annually at the request of the Vice-President, Member Regulation Policy. Special meetings may be called at the request of the Chair, the Senior-Vice President, Member Regulation or the President and CEO.

 


 

Executive Committee


The Section shall be governed by an Executive Committee comprised of the Chair and Vice-Chair of the Section, with up to 13 additional members, who are members of the Section.

Chair and Vice-Chair: The Chair and Vice-Chair of the Section shall be the same individuals and be subject to the same term limits as the Chair and Vice-Chair of the Section, respectively.

A Nominating Committee comprised of the Chair and Vice-Chair shall submit to the Section Annual Meeting a list of persons that it recommends 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.

Appointment Process: The Vice-President, Member Regulation Policy will review all nominees and recommend appointments to the Senior Vice-President. The Senior Vice-President, Member Regulation will approve the appointments to the Executive Committee.

 


 

Sub-Committees


Standing Sub-Committees may be established at the initiative of IIROC with input from the Executive Committee.

Appointment Process: The Vice-President, Member Regulation Policy will review all nominees and recommend appointments to the Senior Vice-President. The Senior Vice-President, Member Regulation will approve the appointments to the Sub-Committee.

 


 

Executive

  
Kelley Hoffer, ChairRBC Dominion Securities Inc.
Alexandra Williams, Vice-ChairQtrade Securities Inc.
FREDERIC BelleauNational Bank Financial Inc.
Lou D'SouzaCormark Securities Inc.
Mary Joyce EmpensandoQuestrade, Inc.
Christopher HillGMP Securities L.P.
Patricia KloepferInvestors Group Securities Inc.
Greg NowakowskiTD Securities Inc.
Jehred RossParadigm Capital Inc.
Naresh TejpalCIBC World Markets Inc.
Kuno TuckerITG Canada Corp.
Irene WinelMerrill Lynch Canada Inc.
Richard Corner, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Marsha Gerhart, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Kevin McCoy, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Sonja McCreary, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Charles Piroli, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Sherry Tabesh-Ndreka, SRO RepresentativeInvestment Industry Regulatory Organization of Canada

 

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Primary Members

  
Kelley Hoffer, ChairRBC Dominion Securities Inc.
Alexandra Williams, Vice-ChairQtrade Securities Inc.
Adam AbramsonTrapeze Capital Corp.
Govind AchyuthanAcumen Capital Finance Partners Limited
Leslee AltinPeters & Co. Limited
Joe BajicAssante Capital Management Ltd.
FREDERIC BelleauNational Bank Financial Inc.
Jean-François BernierInteractive Brokers Canada Inc.
Noah BillickRaymond James Ltd.
Wayne BoltonEdward Jones
Kevin BreslerRBC Direct Investing Inc.
Thomas BriantAltaCorp Capital Inc.
Jean-Luc BrunetAURAY Capital Canada inc.
Marian BuklisAcker Finley Inc.
Stephen CameronWatt Carmichael Inc.
Mark CensaleWells Fargo Securities Canada, Ltd.
Mark ChadakhtzianCTI Capital Securities Inc.
Yann CittéLombard Odier Securities (Canada) Inc.
Ruth Ann CompanionIndustrial Alliance Securities Inc.
Helen CorriganRothenberg Capital Management Inc.
Cheryl de MontignyHampton Securities Limited
Sesto DeLucaW.D. Latimer Co. Limited
Noah DodekLeede Jones Gable Inc.
Jennifer DohertyJC Clark Ltd.
William DoneganManulife Securities Incorporated
Brian DriscollAligned Capital Partners Inc.
Leo DroriInstinet Canada Limited
Lou D'SouzaCormark Securities Inc.
Louise DuchesneLightyear Capital Inc.
Lisa EdwardsSprott Private Wealth LP
Mary Joyce EmpensandoQuestrade, Inc.
Christopher EnrightAligned Capital Partners Inc.
Alison FletcherMandeville Private Client Inc.
Daniel GordonFriedberg Mercantile Group Ltd.
Claudia GourdePictet Canada L.P.
Adrian HavilandCitigroup Global Markets Canada Inc.
Christopher HillGMP Securities L.P.
Helen HsiaCanadian ShareOwner Investments Inc.
Frank HurstIPC Securities Corporation
Sindy JaggerK.J. Harrison & Partners Inc.
Pauline JarryMaison Placements Canada Inc.
Nick KaterinakisGoldman Sachs Canada Inc.
John KennedyBarclays Capital Canada Inc.
Mark KentGravitas Securities Inc.
Patricia KloepferInvestors Group Securities Inc.
Yasmin LalaniCredential Securities Inc.
Martin LangUnion Securities Ltd.
Dave LapenseeChippingham Financial Group
Radek LoudinDesjardins Securities Inc.
David LuGF Securities (Canada) Company Limited
Tim MacNeilOMG Wealth Management Inc.
Bruce MarandaCanaccord Genuity Corp.
Sandy MartinRaymond James Ltd.
Patrick McNenlyMackie Research Capital Corporation
Martin MiyataHarbourfront Wealth Management Inc.
Tom MonahasClarus Securities Inc.
James MoonHampton Securities Limited
Terry MooreCIBC
Catherine Musselman 
Nadjy NacknaRogers Group Investment Advisors Ltd.
Gregory NowakowskiTD Securities Inc.
Peter PacholkoOdlum Brown Limited
Tracey PatelJ.P. Morgan Securities Canada Inc.
Joe PavaoHampton Securities Limited
Nicola PomponioCredit Suisse Securities (Canada), Inc.
Brian ProsserB2B Bank Securities Services Inc.
Brian PynnATB Securities Inc.
Sylvain RacineMirabaud Canada Inc.
Jane RatchfordScotia Capital Inc.
Danielle RaymondJitneyTrade Inc.
Graham RobsonWellington-Altus Private Wealth Inc.
Jehred RossParadigm Capital Inc.
Yves Ruest 
Craig SchleyerAligned Capital Partners Inc.
Gurjinder SinghCaldwell Securities Ltd.
Brian SmallhornMorgan Stanley Canada Limited
Jane SmithAssante Capital Management Ltd.
Daniel SooleyDeutsche Bank Securities Limited
Peter SousarisFidelity Clearing Canada ULC
Jean-Pierre St-CyrSociété Générale Capital Canada Inc.
Naresh TejpalCIBC World Markets Inc.
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.
Matthew VaughnCitadel Securities Canada ULC
Sharon WatkinsSandstone Asset Management Inc.
John WebsterQueensbury Securities Inc.
Irene WinelMerrill Lynch Canada Inc.
André ZangaCasgrain & Company Limited

 

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Alternate Members

  
Ella AdamMackie Research Capital Corporation
Joy AllenScotia Capital Inc.
Robert AllenCredential Securities Inc.
Joya BabaGlobal Securities Corporation
Jean-Paul BachelleriePI Financial Corp.
Vance BaumanCredential Securities Inc.
Holly BensonPeters & Co. Limited
Lori BordageOMG Wealth Management Inc.
David BrackenW.D. Latimer Co. Limited
Nick CardinaleRBC Dominion Securities Inc.
Jean CaronNational Bank Financial Inc.
Andrew CarringtonState Street Global Markets Canada Inc.
Richard CarterLeede Jones Gable Inc.
Warren CarterSolium Financial Inc.
Brian ChoyMorgan Stanley Canada Limited
Carol ChurchBMO Nesbitt Burns Inc.
Jillian ClarkCIBC Investor Services Inc.
Julie ClarkeMandeville Private Client Inc.
Chris ClimoCIBC World Markets Inc.
Kirk CoeBMO InvestorLine Inc.
Lloyd CostleyRaymond James Ltd.
Pauline DavisonQueensbury Securities Inc.
Christopher DimitropoulosHSBC Securities (Canada) Inc.
Maria DiVittorioRichardson GMP Limited
Charles Dunlap 
Paul FalcaoB2B Bank Securities Services Inc.
Lionel FoglerKingwest & Company
Sally Haldenby HabaCaldwell Securities Ltd.
Michael KazmierowskiB2B Bank Securities Services Inc.
Inna KholodenkoQuestrade, Inc.
Kenneth KlepackiInstinet Canada Limited
Vesna KusicRBC Direct Investing Inc.
David LangRBC Dominion Securities Inc.
Gordon LudolphCormark Securities Inc.
Bill LyonsCIBC World Markets Inc.
David MacFadyenOMG Wealth Management Inc.
Mark MaisonvilleHaywood Securities Inc.
Laurinda MartinsKingwest & Company
Jeanette MatiasHSBC Securities (Canada) Inc.
Nadyne McConkeyNational Bank Financial Inc.
Nawaz MeghjiEdward Jones
Myja MillerAcumen Capital Finance Partners Limited
Lafleche MontreuilDesjardins Securities Inc.
Terry MooreCIBC Investor Services Inc.
Sharon MorrisroeRaymond James Ltd.
Darlene MunroInvestors Group Securities Inc.
Jeremy NagyScotia Capital Inc.
Hinson NgGMP Securities L.P.
Scott NorrisFIN-XO Securities Inc.
Lisa PageFidelity Clearing Canada ULC
Cliff PereiraChippingham Financial Group
Brent PickerlSandstone Asset Management Inc.
Shaine PollockRaymond James Ltd.
Sylvain PortelanceCasgrain & Company Limited
Monica PuAll Group Financial Services Inc.
Kim RitchieGMP Securities L.P.
Michael RolandParadigm Capital Inc.
Ali RouhaniBarclays Capital Canada Inc.
James RudderhamMD Management Limited
Raj SachdevaCitigroup Global Markets Canada Inc.
Vivene SalmonMerrill Lynch Canada Inc.
Marc SansregretJitneyTrade Inc.
Marie-Noelle SavoieMacDougall, MacDougall & MacTier Inc.
Susan SchulzeIPC Securities Corporation
Jonathan SherwinUBS Securities Canada Inc.
Wendy SieukaranTD Waterhouse Canada Inc.
Barbara SimpsonRogers Group Investment Advisors Ltd.
Geoffrey StaynerHampton Securities Limited
Angela StirpeCaldwell Securities Ltd.
Kari TavenerBloom Burton Securities Inc.
Bernardino UgoliniAligned Capital Partners Inc.
Chantal VennatDesjardins Securities Inc.
Paige WaddenWorldsource Securities Inc.
Syed WahabQueensbury Securities Inc.
Michael WardParadigm Capital Inc.
Scott WardleW.D. Latimer Co. Limited
Mark WeseluckRBC Dominion Securities Inc.
Shelley WhitneyQtrade Securities Inc.
Bardya ZiaianBBS Securities Inc.

 

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Education

  
Joy Allen, Co-ChairScotia Capital Inc.
Shailesh Ambike, Co-ChairRBC Dominion Securities Inc.
Amina AbutalibNational Bank Financial Ltd.
Julie BoileauDesjardins Securities Inc.
Denise CarsonBMO Nesbitt Burns Inc.
Brian ChoyMorgan Stanley Canada Limited
Shawn CollettTD Waterhouse Canada Inc.
Alexandra DiplarosCIBC World Markets Inc.
Andrew DundassUBS Securities Canada Inc.
Sukhminder Gill 
Bonnie-Marie HenryIndustrial Alliance Securities Inc.
Firdaus KAPADIANational Bank Financial Corp.
Brian PynnATB Securities Inc.
DIANA QUINNGMP Securities L.P.
Bradley RowlandIndustrial Alliance Securities Inc.
Michael SmithNBCN Inc.
Danielle TaylorTD Waterhouse Canada Inc.
Jilin WenCIBC World Markets Inc.
Neal WestonScotiabank
Joe ZambitoCIBC World Markets Inc.
Ming Jie ZhuMerrill Lynch Canada Inc.
Adrian Carter, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Charles Piroli, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Dianne Weatherby, SRO RepresentativeInvestment Industry Regulatory Organization of Canada

 

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Institutional

  
Christopher Hill, ChairGMP Securities L.P.
Brian Smallhorn, ChairMorgan Stanley Canada Limited
Shailesh AmbikeRBC Dominion Securities Inc.
Gary BoydDundee Securities Ltd.
Louis CavalarisEchelon Wealth Partners Inc.
Mark CensaleWells Fargo Securities Canada, Ltd.
Ross DavidsonRaymond James Ltd.
Leo DroriInstinet Canada Limited
Lou D'SouzaCormark Securities Inc.
Lisa EdwardsSprott Private Wealth LP
Claudia GourdePictet Canada L.P.
Lawrence HarasymJonesTrading Canada Inc.
Adrian HavilandCitigroup Global Markets Canada Inc.
Paula HewittMacquarie Capital Markets Canada Ltd.
Nick KaterinakisGoldman Sachs Canada Inc.
Edward KayMerrill Lynch Canada Inc.
Brian LauzonBMO Nesbitt Burns Inc.
Nadyne McConkeyNational Bank Financial Inc.
Gregory NowakowskiTD Securities Inc.
Tracey PatelJ.P. Morgan Securities Canada Inc.
Nicola PomponioCredit Suisse Securities (Canada), Inc.
Ali RouhaniBarclays Capital Canada Inc.
Jonathan SherwinUBS Securities Canada Inc.
Douglas SimsovicPavilion Global Markets Ltd.
Daniel SooleyDeutsche Bank Securities Limited
Kari TavenerBloom Burton Securities Inc.
Naresh TejpalCIBC World Markets Inc.
Kuno TuckerITG Canada Corp.
Neal WestonScotiabank
Marsha Gerhart, SRO RepresentativeInvestment Industry Regulatory Organization of Canada

 

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Money Laundering

  
Joel Amy, ChairMacquarie Capital Markets Canada Ltd.
Jeffrey AblettCredential Securities Inc.
Brian ChoyMorgan Stanley Canada Limited
Keith CouttsCIBC World Markets Inc.
Gene DiMira 
Stephen EbanksUBS Securities Canada Inc.
Samantha GoodingRaymond James Ltd.
Lucinda LehtinenRBC Internal Audit Services
Carrie NelsonRBC Dominion Securities Inc.
Ronald NgQtrade Securities Inc.
Angela PavaoTD Securities Inc.
Lea PowerBMO Nesbitt Burns Inc.
Michelle SarmientoQuestrade, Inc.
Ellen SoRBC Dominion Securities Inc.
Nicholas ThompsonCredit Suisse Securities (Canada), Inc.
Kuno TuckerITG Canada Corp.
Brian WalshPershing Securities Canada Limited
Madeleine Cooper, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
David Wright, SRO RepresentativeInvestment Industry Regulatory Organization of Canada

 

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Order Execution Only

  
Kevin Bresler, ChairRBC Direct Investing Inc.
Jean-François BernierInteractive Brokers Canada Inc.
Christopher DimitropoulosHSBC Securities (Canada) Inc.
Mary Joyce EmpensandoQuestrade, Inc.
Mary IngaraoScotia Capital Inc.
VALERIE LACOMBENational Bank Direct Brokerage Inc.
Lee Morita 
Catherine Musselman 
Kuno TuckerITG Canada Corp.
Shelley WhitneyQtrade Securities Inc.
Kevin McCoy, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Charles Piroli, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Sherry Tabesh-Ndreka, SRO RepresentativeInvestment Industry Regulatory Organization of Canada

 

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Retail

  
Brian Driscoll, ChairAligned Capital Partners Inc.
Mike Arruda, Committee MemberAssante Capital Management Ltd.
FREDERIC Belleau, Committee MemberNational Bank Financial Inc.
Noah Billick, Committee MemberRaymond James Ltd.
Julie Clarke, Committee MemberMandeville Private Client Inc.
Maria DiVittorio, Committee MemberRichardson GMP Limited
Wendyanne D'Silva, Committee MemberEdward Jones
Mary Ingarao, Committee MemberScotia Capital Inc.
Bill Lyons, Committee MemberCIBC Investor Services Inc.
Sandy Martin, Committee MemberRaymond James Ltd.
Darlene Munro, Committee MemberInvestors Group Securities Inc.
Carrie zzzTeeling, Committee Member 
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