A key component of effective self-regulation is industry input and involvement. The Proficiency Committee plays an important role in supporting IIROC Proficiency Staff on matters relating to proficiency policy and operations. The Committee is a valuable source of practical industry knowledge and expertise working with IIROC to ensure high standards of proficiency, professionalism and ethics on the IIROC platform.
To advise IIROC Staff on matters relating to proficiency policy and operations. This includes matters relating to licensing standards and training and continuing education.
IIROC Proficiency Staff.
- The Committee will provide feedback to IIROC Staff with respect to proficiency and licensing policies, standards and initiatives.
- The Committee will support IIROC Proficiency Staff in its oversight of proficiency courses through review of course material and proposals relating to course content, instructional design, etc.
- The Committee will support IIROC Proficiency Staff in the development and updating of proficiency and competency standards by providing input and through the work of specialized ad hoc committees struck by IIROC Proficiency Staff.
The Committee will be comprised of a floating number of members limited to a maximum of 15. Committee membership will aim to draw from the following areas of expertise:
- senior management personnel of Dealer Members;
- education and training personnel of Dealer Members;
- institutional and retail personnel of Dealer Members;
- compliance and legal personnel of Dealer Members; and
- people with expertise in proficiency matters (including non-Dealer Member).
Members of the Committee may not provide proficiency consulting services to CSI or any other provider of the IIROC proficiency courses.
2 year term, renewable
Applications are reviewed by IIROC Proficiency Staff. Committee members are appointed by the President and CEO or his/her designate on the advice of IIROC Proficiency Staff. IIROC will aim to achieve a membership reflective of different sizes and types of firms and different regions of Canada.
A Chair is elected by the members of the Committee for the 2 year term of the Committee.
IIROC Proficiency Staff may strike working groups or ad hoc subcommittees.
The Proficiency Committee will meet quarterly. Special meetings may be called at the request of the Committee Chair or Proficiency Staff.
|Kirsty MacDonald, Chair
||RBC Dominion Securities
|Reg Bonfoco-Barrero-Martinez, Vice-Chair
||BMO Financial Group
||Cormark Securities Inc.
||Haywood Securities Inc.
||Scotia Wealth Management
||BMO Global Asset Management
|Vincent Di Fruscia
||National Bank Financial
||PWL Capital Inc.
||Merrill Lynch Canada Inc.
||Beutel, Goodman & Company Ltd.
||Raymond James Ltd.
|Mary Lou Olton
||IPC Securities Corporation
||Desjardins Securities Inc.
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