Warren Funt manages IIROC operations in Western Canada. In that capacity, he directs Compliance (Financial Operations, Business Conduct and Trading Conduct), Registration, Enforcement and Surveillance activities. Prior to joining IIROC’s predecessor organization, the Investment Dealers Association of Canada (IDA) in 2000, Warren worked with the Vancouver Stock Exchange (VSE), for 13 years holding various senior positions in trading, surveillance, compliance and corporate finance. Warren spent eight years in the securities industry as an Investment Advisor before joining the VSE. He has a Bachelor of Arts, concentrating in International Relations, from the University of British Columbia and a Masters of Business Administration from Simon Fraser University. He has an Institute of Corporate Directors Designation (ICD.D).
IIROC’s Executive Management Team Biographies