As the leading Canadian conference dedicated to registrants’ regulation, this event brought together leaders from across the Canadian financial compliance community. Some of the key topics we covered were:
These discussions have helped to advance compliance within Canadian financial services sector. Thank you for being a part of it. We look forward to seeing you in 2017 when we will continue the conversation with the latest developments in this field.
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Debra Foubert joined the OSC in October 2012 as the Director,
Compliance and Registrant Regulation Branch. Prior to joining the
OSC, Debra held the position of Associate Vice President,
Compliance for TD Bank Group (2007-2012) with Compliance
oversight responsibility for TDBG's investment management
businesses, including investment fund manager and Private Client
Group. In 2010, Debra was seconded to the OSC for a one-year
term as Director, Derivatives Branch. While at the OSC, Debra
and her team led the development of a framework for regulating
over-the-counter derivatives in Ontario which was incorporated
into the Ontario Securities Act through legislative amendments.
She obtained her B.B.A. from the University of Toledo in 1987
and a Juris Doctor from the University of Toledo College of Law in
Lynn Tsutsumi joined the Alberta Securities Commission (ASC) in 2011 as Director, Market Regulation. In this role Lynn is responsible for the Market Regulation division, which provides securities regulation to the Alberta capital market by developing and administering rules and policies relating to registrants (dealers, advisers, and investment fund managers), equities and derivatives exchanges, clearing agencies, and self-regulatory organizations.
Prior to joining the ASC, Lynn served as the Chief Financial Officer and Vice-President, Finance for a number of companies, including Acumen Capital Partners, Tristone Capital Global Inc. and AltaCorp Capital Inc. From 2003 to 2006, she was Manager, Financial Compliance with the Investment Industry Regulatory Organization of Canada. She commenced her securities industry career at the Alberta Stock Exchange in early 1995, with experience in both the Member Regulation and Listings departments.
Lynn graduated, with distinction, with a Bachelor of Commerce degree from the University of Calgary in 1991 and received her Chartered Accountant designation in 1994.
SOPHIE JEAN joined the Autorité des marchés financiers in January 2000. Formerly a partner at Bélanger Sauvé, a Montréal law firm, her practice was mainly in securities and financing. Since joining the Autorité, she has been a policy adviser exclusively in the field of registrant regulation. To this day, she has participated in almost all regulatory projects which relate to dealer and adviser registration. She has been main counsel at the Autorité for the registration reform project, and has chaired the Canadian Securities Administrators’ Registrant Regulation Committee from 2009 to 2013. Sophie is Director, Supervision of Intermediaries since 2013. She attended McGill University (B.C.L, and LL.B).
Mark is a policy lawyer, focused on registrant and market structure regulation. Since 2007, Mark has managed the Legal Services branch in the Capital Markets Regulation division of the BCSC. His team develops legislation, rules and policies both at the national and local level. They also provide legal support to registration, compliance and SRO and exchange oversight staff.
Before joining the BCSC in 2001, Mark was in private practice. His practice focused on the area of public and private financing.
Michael Stanley is President and Chief Executive Officer for Quadrus Investment Services Ltd., a mutual fund dealer and subsidiary company of London Life and Great-West Life. His primary responsibilities include the overall operating and governance results of the mutual fund dealer.
Michael started his career with London Life in 1992 and has worked in numerous areas including Individual Par Insurance, Group Retirement Services and Human Resources. Prior to becoming the Chief Operating Officer for Quadrus 2009, he held the position of Vice President, Investments & Product Pricing with Group Retirement Services.
Michael graduated from the University of Western Ontario in 1992 with an Honors Bachelor of Science. He is a Fellow of the Society of Actuaries and Canadian Institute and also has a Masters degree in Finance from the London School of Economics, U.K.. Michael is currently serving on the board of directors for the Investment Funds Institute of Canada.
He is married to Mary and they have four sons and one daughter.
Eric Adelson is Head of Legal for Invesco in Canada. His primary responsibilities include the delivery of legal advice for Invesco Canada and the oversight of a team of Canadian lawyers. Eric and his team also provide advice to other Invesco business units regarding their operations in Canada.
Prior to joining the company in 2008, Eric was Vice President and General Counsel at Mackenzie Financial Corporation, a company he joined in 2001, after a legal career in private practice primarily advising public companies on corporate and securities law issues.
Eric graduated from the University of Toronto (LLB) and holds a B.Comm. from McGill University.
Chris Jepson is the chair of the Canadian Securities Administrator’s Client Relationship Model, Phase 2 project committee. He was also the chair of the CSA’s Registration Reform project committee, which developed streamlined and harmonized national standards for registrant conduct in National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations. Chris also leads the OSC’s work on the regulation of online advisers.
Before joining the OSC, Chris was a senior counsel in-house at a large financial services group.
Chris joined APFA in January 2012 as Policy Director and was appointed as Director General in June 2013. Chris has 20 years' experience on public policy and working with government on a range of business and financial services issues. Chris started his career working in the, then, Department for Trade and Industry and HM Treasury. In 2003, he joined the ABI working on regulation and distribution of general insurance and financial crime. Most recently he has been Policy Director at the British Chambers of Commerce and Head of Representation at the EEF, the manufacturers' organization.