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Education & Proficiency Committee



​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

 
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Mandate: To advise on the development and maintenance of proficiency standards for Dealer Members and their approved persons.
 
Reports To: Staff of IIROC
 
 

 Structure

 

 

Specific Responsibilities: The mandate of the Education and Proficiency Committee is to determine proficiency standards for the Dealer Members and establish processes for accreditation of course providers and/or their products. Substantive changes to proficiency standards are to be recommended to the Board for approval.

 
To assist in the development of IIROC position in response to a request for comments issued by a securities regulatory authority or self-regulatory organization, where appropriate.
 
Executive and Subcommittees
 
Chair and Vice-Chair: A Chair and Vice-Chair are elected by the members of the Committee for the 2-year term of the Committee.
 
Executive Committee: No Executive Committee
 
Sub-Committees: Standing Sub-Committees may be established at the initiative of Committee. The one existing Sub-Committee is the Continuing Education Sub-Committee.

 

 

 Education & Proficiency Committee

 

Education & Proficiency Committee

  
Kenneth Broaderip, ChairMastery Consulting
Phillip AckersTD Wealth Management
Victor CiampiniTSX Markets
Jeevan DhamraitRaymond James Ltd.
Mario FrankovitchBurgeonvest Bick Securities Limited
Gustavo LarnaudieCIBC Investor Services Inc.
Simon LemaireNational Bank Financial Inc.
Michael LyndsMacquarie Private Wealth Inc.
Alan McDermottDWM Securities Inc.
Debra MugridgeEdward Jones
Kuno TuckerITG Canada Corp.
Joan YudelsonFinancial Planning Standards Council
Marc Flynn, Ex-OfficioCSI Global Education Inc.
Angie Foggia, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Levi Sankar, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
 

 Continuing Education

 

Continuing Education

  
Reg Bonfoco, Co-ChairTD Waterhouse Canada Inc.
Rachel Repstock, Co-Chair 
Jeremie ClarkeBMO Capital Markets
Jeevan DhamraitRaymond James Ltd.
Irene GrattonCIBC Investor Services Inc.
David HuangDWM Securities Inc.
Irene KomoriOdlum Brown Limited
Samantha LandaleCanaccord Genuity Corp.
Kelly McGeeEdward Jones
Amanda MooreRBC Dominion Securities Inc.
Alicja MorykBMO Nesbitt Burns Inc.
Edsel RizarriHaywood Securities Inc.
Elisabeth RutiglianoRBC Dominion Securities Inc.
Naim SahibManulife Securities Incorporated
Candace SchindelCredential Securities Inc.
Sylvain TheriaultDesjardins Securities Inc.
Josette Nagel, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
Kerry Newman, SRO RepresentativeInvestment Industry Regulatory Organization of Canada
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