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Major announcements are expected in Spring 2016. Be in the know to guide your firm accordingly.
Specially designed for executives involved in financial services regulation, this is Canada’s top event of the year!
EXCLUSIVE: Engage in Q&A with OSC, AMF, BCSC, and ASC
IN-DEPTH AND SPECIALIZED WORKSHOPS: Investment Fund/Portfolio Managers vs. Exempt Market Dealers
Get your answers on the spot, all in one place, at one time.
In a highly interactive setting, source insights and strategies to:
Attend this prestigious event to hear the latest updates affecting your role and business.
Know your requirements and achieve compliance excellence!
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.
Rhonda Goldberg joined IGM Financial Inc. as Vice President, Regulatory Affairs in September, 2015. In this capacity, Rhonda is responsible for providing guidance for all operating companies on regulatory initiatives and trends, working proactively with relevant government organizations, regulators and other stakeholder groups and supporting Product, Distribution and Client Services Operations in the development of new and innovative investment products and business lines. She also chairs IGM’s Regulatory Initiatives Committee.
IGM Financial Inc. is one of Canada’s premiere personal financial services companies, and one of the country’s largest managers and distributors of mutual funds and other managed asset products. Its activities are carried out principally through Investors Group, Mackenzie Financial and Investment Planning Counsel. IGM Financial Inc. is a member of the Power Financial Corporation group of companies.
Prior to joining IGM, Rhonda worked for the Ontario Securities Commission (OSC) for over 15 years, where she built a successful career with a strong reputation for regulatory advocacy across Canada. Most recently, she held the executive management position of Director, Investment Funds and Structured Products Branch, responsible for regulating the greatest share of Canada’s asset management industry. In addition, she undertook the role of Acting Director for the OSC’s Office of Investor Policy, Education and Outreach. Working with the Executive Director, she led the integration of the Office with the OSC’s Investor Education Fund (IEF) to expand the OSC’s investor protection capabilities. Rhonda was called to the Bar in Ontario is 1996 and has a law degree from Osgoode Hall law school.
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.
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).
Corporate, commercial and securities lawyer with over 15 years of experience providing legal advice to the financial services industry.
Proven ability to:
Specialties: Launch and management of public and privately placed investment funds in Canada and offshore, including TSX listed exchange traded funds. Dealer and securities adviser regulatory compliance knowledge. Corporate governance, continuous disclosure for public companies. Employment, joint venture, royalty and service contract negotiation.