Www.clseducation.ca



4984750-125095lefttopIIROC – CLS Compliance Conference Dec 3rd 2013Speaker BiographiesIIROC PrioritiesRosemary Chan Senior Vice President, Member Compliance, General Counsel and Corporate Secretary, IIROC 247650-633730As Senior Vice President, Member Compliance, Ms. Chan is responsible for the Business Conduct Compliance and Financial & Operations Compliance functions of IIROC. These departments monitor the financial, business and sales practice compliance of IIROC-regulated firms and their registered employees. As General Counsel and Corporate Secretary, Ms. Chan is responsible for the legal and regulatory affairs of IIROC. This includes the administration of the hearing panels, dealer and marketplace membership matters and providing advice and support to the Board of Directors of IIROC. Ms. Chan has extensive industry experience and previously held senior compliance positions with RBC Investments and Canada Trust. Ms. Chan practiced securities law at Torys LLP and was called to the Ontario Bar in 1990.Morning Keynote – William S. RiceWilliam S. RiceChair, Alberta Securities Commission & Chair, Canadian Securities Administrators175260-727710Mr. Rice is currently Chair and Chief Executive Officer of the Alberta Securities Commission. Prior to his joining the Alberta Securities Commission on July 18, 2005, Mr. Rice was a partner of the Bennett Jones LLP law firm in Calgary. During the five years prior to his appointment to the Alberta Securities Commission, Mr. Rice served as the firm’s national managing partner. He graduated from Bishop’s University with a BA in 1968 and from Osgoode Hall Law School with an LLB in 1972. While at Bennett Jones, Mr Rice practised as a member of the litigation bar from 1974 until 1979 and as a securities law specialist thereafter. Mr. Rice served as a member and chair of a number of companies, both public and private, over a period of some 15 years.Mr. Rice was appointed Chair of the Canadian Securities Administrators in January 2011.Third Party Access – DMA Electronic Trading RulesTorstein BraatenChief Executive Officer, Chief Compliance Officer, TriAct Canada Marketplace LP155575-699135Torstein M. Braaten, is the Chief Executive Officer, Chief Compliance Officer and Managing Director of TriAct Canada Marketplace LP, an Alternative Trading System (ATS) which operates MATCH Now, Canada’s leading dark pool. Prior to TriAct, Mr. Braaten was the Chief Compliance Officer at ITG Canada Corp. From 2001 to 2006 Mr. Braaten was Director of Institutional Compliance and Risk Management at RBC Capital Markets supporting Equity and Derivative trading desks, in Toronto. Prior to RBC, Mr. Braaten held progressive institutional compliance positions at Bank of America in Charlotte, North Carolina and BMO Nesbitt Burns in Toronto. Mr. Braaten has 21 years of Banking and Investment Dealer experience with 19 of those years in Compliance roles. Mr. Braaten is a former Director with the National Society of Compliance Professionals (2008-2012) and completed the NSCP Certified Securities Compliance Professional certification and has a Bachelor of Commerce from Carleton University, Ottawa, Canada. Current Chair of the Investment Industry Regulatory Organization of Canada's Market Rules Advisory Committee (IIROC MRAC) and member of the IIROC Compliance and Legal Section Executive.?Deanna DobrowskyVice President, Market Regulation Policy,?IIROC165100-709930Deanna Dobrowsky is Vice President, Market Regulation Policy at the Investment Industry Regulatory Organization of Canada. Prior to her role at IIROC, Deanna was most recently Director, Regulatory Affairs at TMX Group where she was a member of the General Counsel’s Office from 2003 to 2012. Before TMX Group, Deanna worked both in private practice, as well as in the legal department of a large financial institution. Deanna was admitted to the Ontario Bar in 1996 and holds a bachelor of laws degree from the University of British Columbia and a bachelor of commerce degree from Queen’s University.Luana DiCandiaDirector, Capital Markets Compliance, RBC Capital Markets Luana DiCandia is Director, Capital Markets Compliance at RBC Dominion Securities Inc. Luana is a securities lawyer called to both the Ontario and New York bars. She was previously Senior Counsel in RBC’s Corporate Secretary & Public Company Law Group, and previous to that Legal & Policy Counsel at the TSX Group. Before TSX Group, she was a securities lawyer in private practice. Luana has an LL.M. in Delaware Corporate Law & Finance, an LL.B., MBA, and an HBA from the Richard Ivey School of pliance Conflicts ChallengeIva VranicDirector, Control Room, Global Banking and Markets Compliance, ScotiabankIva Vranic is a securities lawyer with extensive experience in the compliance and regulatory areas. Currently, she is the Director of the Control Room, Global Banking and Markets Compliance at Scotiabank. Previously, she was a Director, Compliance Legal Counsel for Scotia Capital and Scotia Wealth Management. Since joining Scotia in 1998, she has focussed on the impact of regulatory developments on various business lines with a focus on registration reform and the insider reporting rules. Prior to joining Scotia, Ms. Vranic was a Manager in the Corporate Finance Branch of the Ontario Securities Commission where she managed a team responsible for reviewing offering documents, applications for discretionary relief, insider reporting and developing various policy initiatives. She has spoken at numerous conferences on securities law and related topics. Prior to joining the Commission, she practiced corporate and securities law at Blake, Cassels and Graydon. Ms. Vranic completed her undergraduate studies at the University of Toronto and received her law degree from Queen's University". Paula HewittLegal Counsel, Dundee Capital Markets227330-1135380Sean ShoreManager, Business Conduct, National Bank Financial Wealth Management223520-728345Sean is a financial services executive with more than 10 years of experience in the Canadian investment industry specializing in investment dealer and mutual fund dealer compliance, legal and corporate governance issues and in his present role is a Manager of Business Conduct for National Bank Financial Wealth Management. Previously, he was the Chief Compliance Officer for the Wellington West group of companies prior to its acquisition by National Bank Financial Wealth Management. Sean has been a practicing lawyer since 1995 and holds law degrees from the University of Manitoba and the London School of Economics.Gina A. YeePartner, Fasken Martineau262890-739140Gina Yee is a partner in the Investment Products and Wealth Management & and the Securities and Mergers & Acquisitions Practice Groups. Gina is participating in the creation of a new specialized Securities Regulatory Compliance Group, focusing on supporting investment dealers and other securities registrants with all aspects of their business and regulatory compliance needs. Before returning to private practice, Gina was at Scotia Capital Inc. for over 8 years as VP Head of Institutional Compliance & Chief Compliance Officer, Senior Regulatory and Compliance Advisor, Anti-Money Laundering Officer and In-house Compliance Counsel. Prior to Scotia, she was the VP Head of Retail Compliance and Legal Counsel at HSBC Securities (Canada) Inc. Her experience and expertise includes global capital markets, global corporate and investment banking and retail/wealth management. Gina has participated in the acquisition, integration and registration of new business entities and business lines, and in the creation of supervisory and compliance processes, policies and procedures, risk controls and training programs to support those businesses. She provides business conduct and trade desk support and assists clients with managing internal investigations and regulatory inquiries. Gina is a current member of the IIROC CLS Education Committee and a past member of the CLS Executive Committee, Market Rules Advisory Committee (MRAC) and the Securities Advisory Committee (SAC) to the Ontario Securities Commission. Gina has also worked as Enforcement Counsel for the Investment Dealers Association of Canada (now "IIROC") and as an Assistant Crown Attorney in the provincial and superior courts in Toronto.Key IIROC Enforcement Priorities, Initiatives & TrendsElsa RenzellaVice President, Enforcement, IIROCElsa Renzella is Vice-President, Enforcement for the Investment Industry Organization of Canada (IIROC). She was Director, Enforcement Litigation at IIROC for the previous 3 years. She is a lawyer with over 10 years of litigation experience. Prior to becoming Director, she was Enforcement Counsel with IIROC and its predecessor, the Investment Dealers Association of Canada. As Enforcement Counsel, her primary responsibilities involve the prosecution of Member firms and individual registrants who breach IIROC by-laws and/or securities legislation. She began her legal career practicing criminal defence litigation at the Toronto law firm Skurka & Pringle for five years. She obtained a Bachelor of Business Administration degree from York University in 1993 and her Bachelors of Law degree from Osgoode Hall Law School in 1998. Ralph GastonDirector Investigations, IIROC196215-728345 Ralph is the Director, Investigations with the Enforcement Department of the Investment Industry Regulatory Organization of Canada (IIROC). Since 2000, Ralph was Manager, Investigations at IIROC, after joining as Investigator in 1998 with IIROC’s predecessor organization known as the Investment Dealers Association. Before joining IIROC, Ralph also worked as an investigator with the Ontario Securities Commission Enforcement Unit. Prior to entering the securities regulatory arena, Ralph spent several years in various accounting and regulatory compliance positions in the public and private sector. He has a BA from the University of Toronto and is a Certified General Accountant.Jeremy DevereuxPartner, Norton Rose Fulbright Canada LLPJeremy Devereux is a litigation partner at Norton Rose Fulbright Canada LLP in Toronto. Jeremy has a diverse litigation practice that includes a particular emphasis on securities and financial services disputes, regulatory investigations and prosecutions, class actions, and complex employment law matters. Jeremy frequently provides advice to and representation of a variety of financial institutions and other companies, and their employees, with respect to matters before the courts, arbitrators, securities commissions, the Investment Industry Regulatory Organization of Canada, and other regulators.153035-1684655John FabelloPartner, Torys LLP 220345-728345John Fabello is a senior member of the Torys securities litigation and class action practices, and is a co-lead for the firm's securities defence practice.?John focuses on all aspects of securities litigation and regulatory matters, as well as general corporate and commercial litigation, including insurance broker and underwriter liability. John represents clients across Canada before securities and other financial regulators, and the courts. John’s practice includes conducting internal investigations and advising financial services firms regarding the quality and sufficiency of their regulatory compliance programs. John has acted as an instructor for in-house broker?and investment banker continuing education?programs and was seconded for over a year to one of Canada’s largest broker-dealers to manage major class action litigation and related securities regulatory matters. John is a frequent speaker and lecturer?on securities litigation, and has been recognized as a leading lawyer in Canada in the areas of professional liability and securities litigation by Woodward White’s Best Lawyers in Canada, Lexpert and LawDay.Amendments to the Proceeds of Crime (Money Laundering) and Terrorist Financing RegulationsMichael PawliwRegional Director – Central Regional Office, Regional Operations and Compliance, FINTRAC207645-833755 Michael. Pawliw is responsible for the day to day management of the Central Regional Office in a variety of liaison and compliance activities throughout Ontario, Manitoba, Nunavut and the Northwest Territories. He is also the prime interface for FINTRAC with local law enforcement and stakeholders in the region. Michael joined FINTRAC in 2007 as a Senior Compliance Officer with significant experience in the financial services sector including experience in AML/ATF compliance with a major Canadian Insurer and in the role of Chief Anti-Money Laundering Officer of a Foreign Bank where he had day-to-day responsibility for their anti-money laundering/anti-terrorism financing program. Michael has a B.A. from the University of Toronto, a M.B.A. from Wilfrid Laurier University and is a Certified Anti-Money Laundering Specialist (CAMS).Matthew McGuireNational Anti-Money Laundering Practice Leader, MNP LLP184150-847725Matthew McGuire, Chartered Professional Accountant, leads MNP LLP's National Anti-Money Laundering Practice and Investigative and Forensic Services Group in Ontario. He serves as the chair of CPA Canada's AML Committee, as an advisor to the Department of Finance's AML/ATF Public Private Sector Advisory Committee and as a director of the Seneca College Institute for Financial Crime Analysis. Together with his team of dedicated AML specialists, Matthew leverages his private and public regulatory and investigative experience to empower clients with anti-money laundering compliance and financial crime risk mitigation strategies. Recently, he has been involved in guiding financial institutions through FINTRAC and OSFI AML examinations and subsequent remediation plans.Matthew has been qualified and admitted by the criminal and civil divisions of the Ontario Superior Court of Justice as an expert witness, certified as an Anti-Money Laundering Specialist by the Association of Certified Anti-Money Laundering Specialists, and is accredited as an Anti-Money Laundering Professional by the Bank Administration Institute. Matthew holds Honours Bachelor of Arts and a Master of Accounting degrees from the University of Waterloo and is a graduate of the Diploma in Investigative and Forensic Accounting program at the Rotman School of Management (University of Toronto). Matthew regularly speaks on the topic of money laundering and financial crime to reporting entities, law enforcement, prosecutorial authorities, university courses, and conferences, and has authored articles for a number of periodicals.Steve LashbrookDirector and Chief Anti-Money Laundering Officer, Bank of America Merrill Lynch Steve Lashbrook is the Chief Anti Money Laundering Officer at Bank of America/Merrill Lynch Canada. In this capacity he is responsible for identifying, defining and communicating to Canadian senior management the anti money laundering and anti terrorist financing requirements and reviewing and evaluating the applicability of AML/ATF regulatory changes impacting the products and services offered by the Branch. He is also responsible for maintaining a risk based AML/ATF compliance program that has been customized for local regulatory requirements, including customer identification and record keeping, statutory reporting, transaction monitoring and suspicious transaction reporting, and employee training. Mr. Lashbrook joined the Bank of America/Merrill Lynch in 2010 as the Chief Anti Money Laundering Officer. Prior to that he worked for Bank of Montreal where he was the AML risk officer, and he spent over a decade at Royal Bank of Canada, the last 6 years of which were spent in Anti Money Laundering Operations implementing AML operational and technology solutions.Fraud & Information Security / Business PreparednessEd RosenbergVice President and Chief Security Officer, BMO Financial Group223520-803910Ed Rosenberg has more than 25 years of experience consulting on operational risk matters, including complex litigation, fraud and security. As Chief Security Officer, he is responsible for leading BMO’s corporate security operations, including investigation, protective services and fraud management.Keith MatchamPartner, Ernst & YoungKeith Matcham is a Partner in the Financial Services Advisory practice of Ernst & Young LLP. He is the leader of the Financial Services IT Risk practice and also serves as the Quality and Risk Management Leader of the Canadian Advisory Services practice providing technical consultation and oversight.215900-1231900Keith has 26 years of advisory experience, 17 of which have been with Ernst & Young’s financial services practices in Toronto and London, England. He spent nine years working within the private sector - banking and insurance - five of which were leading an internal group. Keith is a UK Chartered Accountant, and Certified Information Systems Auditor. He is also member of the Institute of Internal Auditors.Engagement ExperienceKeith has led Internal Audit teaming and outsourcing engagements for a variety of financial services clients and has provided insights and perspectives to deliver additional value.Advisory Partner for a $120 billion Canadian Pension Plan: recent projects include: review of regulatory reporting process, internal control risk assessments; complex project assessments; post-implementation reviews, business continuity planning assessment; QA testing of IT systems.Responsible for internal audit co-sourcing relationship with a $30 billion asset management company. Mandate involves assisting the leader of internal audit assess enterprise-wide risks and developing and executing a risk based internal audit plan. Projects included a review of the ICAAP process for OSFI regulated trust company subsidiary, tax reporting process, selection of new brokerage system, review of enterprise risk management deployment.Provided co-sourced internal audit services to two of the major Canadian banks, including review of cheque clearing process, development of an audit guide for reviewing systems under development, data centre and security reviews of new operations and security vulnerability assessments.Provide IT internal audit services to a $40 billion pension plan including: pre-implementation review of a new pension system; an enterprise-wide review of business continuity planning, reviews of IT security on various platforms.Currently performing an OSFI mandated review of an Internal Audit function at a major life insurer.Performed several IIA Quality Assurance Reviews of internal audit functions at: an insurer, an export development entity, a bank.For seven years, partner for a CSAE 3416 (formerly Section 5970) review at a major cheque and currency processor, an annual assurance review issued to several banks.Served as the global IT audit partner for a major bank and a major life insurance company. Also served as the SOX 404 advisor for a major bank during the initial implementation of SOX 404.OTC Derivatives and Canada – The Future is NowKevin FineSenior Advisor, Derivatives Unit, Ontario Securities Commission191135-704850 Kevin Fine is Director of the Derivatives Branch at the Ontario Securities Commission. As part of his duties at the OSC he participates in a variety of national and international committees currently working on introduction of regulation of over the counter derivatives markets. These committees include: the CSA OTC Derivatives Committee, the Head of Agencies OTCDWG, the IOSCO Commodities Working Group and the OTC Derivatives Regulators Forum. Kevin is also one of the co-chairs of the IOSCO Task Force on OTC Derivatives.Mr. Fine was previously Associate General Counsel and Managing Director, Retail Investor Solutions Group and Securitization, for Bank of Montreal Financial Group of Companies ("BMOFG").Candace M. PalloneCounsel, Structured Products Group, McCarthy TétraultCandace M. Pallone is a Counsel in our Structured Products group, specializing in derivatives. Her practice area focuses on structured products, securitizations and covered bonds transactions.218440-1132840For the past five years, Ms. Pallone has acted on behalf of nine Canadian Schedule I Banks as well as many of their corporate clients and global bank counterparties. She has extensive experience in all aspects of OTC derivative transactions, including the collateralization of such transactions, for all asset classes including credit, fixed income, interest rate, commodity, foreign exchange and equity. Her recent transactions include working extensively on behalf of five of Canada’s Schedule I Banks in connection with the restructuring of the Canadian non-bank sponsored asset-backed commercial paper market, acting for Canadian bank issuers in connection with the swap-related aspects of covered bond transactions and assisting a clearing corporation in amending its membership rules to permit the clearing of repo transactions.Prior to joining McCarthy Tétrault in 2006, Ms. Pallone was senior counsel with Royal Bank of Canada’s Capital Markets Transactions Services Group. While at the Bank, Ms. Pallone provided legal support to the trading desks and to the operations and risk management groups in all aspects of derivative and capital markets transactions for 9 years.Ms. Pallone is a frequent speaker at conferences and courses on derivatives and collateral issues, most recently at the Canadian Institute’s 6th Advanced Forum on Derivatives. She also appears in the 2013 edition of the?Canadian Legal Lexpert Directory, a guide to the leading law firms and practitioners in Canada, as a leading lawyer in the area of derivatives law. She is also listed in?The Best Lawyers in Canada?2013 in the area of derivatives law.Ms. Pallone holds a BA in Accounting and an LLB from Osgoode Hall Law School. She is also a Chartered Accountant (1988) and was with Deloitte and Touche from 1984 to 1989.CRM 2: A Primer on ImplementationRichard CornerVice President, Member Regulation Policy, IIROC Richard joined what is now IIROC's Member Regulation Policy Department in February 1997 as a result of the transfer of TSX dealer regulation functions to the IDA. Since that time he has been involved in the development of a number of significant IDA and IIROC dealer financial, operational and business conduct rules.215900-1318260Richard regularly provides presentations to and receives comments from the Compliance and Legal Section and the Financial Administrators Section, and their respective sub-committees, on regulatory proposals under development. Richard is also a frequent speaker at regional Members and Panel Auditors seminars. Dan BoweringVice President Compliance, Richardson GMP 215900-857250Dan has over 20 years’ experience in the investment industry and holds a degree in Administrative Studies from York University. His experience is varied from sales and trading in equities and options, to Compliance and Risk where he has held senior roles with firms such as CIBC Wood Gundy, Manulife Securities Inc. (formerly Berkshire Securities Inc.) and Blackmont Capital Inc. as well as consulting in compliance and risk. Until recently he was CCO, AMLO, and Privacy officer for Macquarie Private Wealth Inc., an IIROC member firm, as well as Macquarie Private Wealth Corp, a FINRA member firm. He is currently Vice President Compliance for Richardson GMP, Canada’s largest independent wealth management firm, member of IIROC.Matthew WilliamsPartner,?Borden Ladner Gervais LLP Matt Williams is a partner in the Securities and Capital Markets Group of the Toronto office of Borden Ladner Gervais LLP. Matt practises securities and corporate law, exclusively in the areas of investment management, registrant registration & compliance and hedge/pooled funds.168275-1333500Prior to joining BLG, Matt was Legal Counsel in the General Counsel's Office at the Ontario Securities Commission (OSC). In 2010, Matt was seconded to BMO Financial Group as Legal Counsel in the Investment Funds and Global Asset Management department.In 2012, Matt was seconded to the Compliance and Registrant Regulation branch of the OSC as Legal Counsel.Christopher JepsonSenior Legal Counsel, Compliance & Registrant Regulation,?OSC 247650-815340Chris Jepson is a Senior Legal Counsel in the OSC's Compliance and Registrant Regulation Branch. He is currently the chair of the CSA Client Relationship Model Phase 2 project committee. He was the chair of the CSA's Registration Reform Working Group, which developed National Instrument 31-103?Registration Requirements, Exemptions and Ongoing Registrant Obligations. Before joining the OSC, Chris was a senior counsel in-house at a large financial services group. Closing Keynote SpeakersPeter R. Greene & Gavin TighePeter R. GreeneSenior Partner, Affleck Greene McMurtry LLP236220-659765Peter is a widely recognized and renowned litigator with substantial expertise in high profile and complex Commercial Litigation at the trial and appellate levels. Peter acts as counsel for insurance companies on professional liability, E&O claims, Director's and Officer's liability, and surety, fidelity and dishonesty bond claims. He has particular expertise in securities litigation and Regulatory Hearing, and has acted for Canada's largest investment firms. He regularly acts as defence counsel in large Class Actions before the courts in Ontario, and before national and provincial Regulatory agencies, boards and tribunals. Peter is regularly involved in large product liability and construction contract cases involving Construction Liens or Surety Bonds.Gavin TigheSenior Partner, Gardiner Roberts LLPGavin Tighe is a senior partner with Gardiner Roberts LLP and a member of the firm’s Executive Committee. Mr. Tighe is certified by the Law Society of Upper Canada as a Specialist in Civil Litigation and has appeared as lead counsel at all levels of Canadian Courts including the Supreme Court of Canada. Mr. Tighe is routinely sought out by clients as trial and appellate counsel in contested and complex Civil Litigation. He also has significant experience successfully representing clients before securities industry tribunals in both Canada and the United States. Mr. Tighe also acts as counsel to clients in mediations and other forms of Alternative Dispute Resolution. A sampling of some of Mr. Tighe’s reported decisions is listed below.223520-1556385In addition to general litigation, Mr. Tighe’s diverse practice focuses on professional liability and particularly on litigation relating to securities matters and lawyer’s negligence. Mr. Tighe has also successfully represented clients on some of the leading cases in such diverse areas as corporate restructuring, municipal conflict of interest, adverse possession of real property, solicitor’s negligence, financial advisor liability, title insurance, defamation, and election law in addition to numerous other areas of law.Mr. Tighe has published numerous legal articles and has been an instructor in the area of Professional Liability at the Law Society of Upper Canada. He has been cited as an authority on Civil Practice in Ontario in publications on the Rules of Civil Procedure. He has been selected by his peers for inclusion in?The Best Lawyers in Canada 2013. Mr. Tighe is also commonly an invited speaker at securities industry, creditor conferences and legal professional conferences including conferences sponsored by the Law Society of Upper Canada and the Canadian and American Bar Associations.centercenter ................
................

In order to avoid copyright disputes, this page is only a partial summary.

Google Online Preview   Download