Benjamin Bernal is a former Policy Maker and IT Risk Examiner with the Mexican Regulator (CNBV) of the financial services with over 18 years of experience in key managerial positions leading the Operational and IT Risk Supervision group. Benjamin has extensive experience in developing regulations in the matter of IT, including Electronic Banking Services, Information Security, Privacy, AML, Branchless Banking, Third Party Risk Management, IT Risk, and regulatory reports for electronic banking transactions and customers’ complaints. Benjamin played a key role as part of the leading group for the development of the regulatory framework to enhance the financial inclusion in Mexico.
Joined Scotiabank in 2012, currently Benjamin is responsible for the IT Regulatory Compliance matters as part of the Operational Risk and Governance group. His well balanced experience has made a difference in terms of customer protection controls in the financial industry throughout his professional career. He studied Cybernetics and Systems Engineering, Market and Credit Risk Management and has a MBA from La Salle University Mexico; in addition he holds IT Audit, Information Security and Governance related professional designations.
Tushar Pai is the Vice-President, Compliance and Chief Compliance Officer of Stonegate Private Counsel LP. He is responsible for developing, implementing and administering Stonegate’s compliance policies and procedures. Tushar has an MBA in Finance and nearly 20 years of experience in financial services, including roles in compliance, sales and operations. Before moving to Stonegate, Tushar spent 9 years working with Assante Wealth Management’s Compliance team, having held increasingly senior roles reflecting his technical knowledge, leadership and relationship building skills, both internally and with external regulators. Prior to that, he worked as a retail financial advisor helping clients achieve their financial goals.
Prema Thiele is a Partner of Borden Ladner Gervais LLP. She is a native of Saskatoon and received her Bachelor of Commerce and Bachelor of Laws degrees from the University of Saskatchewan. Ms. Thiele practices corporate and commercial law, with an emphasis on securities law and mergers and acquisitions. She has advised several foreign and domestic investment advisers, investment fund (including pooled fund, ETF, hedge fund and mutual fund) managers, and dealers in respect of carrying on business in Canada, offering investment funds in Canada and registration under provincial securities legislation, anti-money laundering compliance, as well as developing and assessing compliance procedures and practices relating to regulatory and internal policy requirements. She is a regular speaker at conferences on compliance and registration matters affecting capital markets participants. She was appointed in 2015 to a second term by the Ontario Securities Commission as a member of the OSC’s Registrant Advisory Committee. She was selected by peers for inclusion in the 2016 edition of The Best Lawyers in Canada (for Mutual Funds Law and for Securities Law), and recognized by The Best Lawyers in Canada as the 2011 Toronto Mutual Funds Lawyer of the Year and recognized in the 2016 Chambers Canada Leading Lawyers for Business (for Investment Funds).
Andrew Ma is the Chief Compliance Officer at Picton Mahoney Asset Management. Prior to joining Picton Mahoney, Andrew was Vice President of Compliance and Risk Management at Sprott Asset Management LP and led the compliance and risk management functions at Sprott. Andrew has over ten years of experience in the investment industry in various operational, compliance, risk management, and external audit roles. As a volunteer, Andrew also leads the Toronto chapter of a global risk management association as its Regional Director.
Belle is currently Vice-President Legal and Chief Compliance Officer with Third Eye Capital Management, an investment firm specialized in Canadian focussed senior secured direct lending solutions.
Belle has over 18 years of experience in the investment management industry and has acted as head of legal and compliance at PIMCO Canada, as senior manager legal and corporate compliance at Bank of Montreal and counsel at TD Asset Management. She was also enforcement counsel and policy counsel at the Investment Industry Regulatory Organization of Canada.
Belle was elected to the AIMA Canada Board in September 2016. She established the AIMA Canada Operations and Compliance Committee and serves as co-chair of the Committee. She also sits on the AIMA Canada Legal and Finance Committee and is a member of the Portfolio Management Association of Canada.
A fellow of the Institute of Chartered Secretaries Association of Canada, Belle completed the Directors Education Program and acted as Chief Examiner. Belle also completed the Fellow in Governance Board Program of the Canadian Board Diversity Council and wrote a monthly newsletter for the Canadian Coalition of Good Governance.
She graduated from McGill University with a Bachelor of Common Law and a Bachelor of Civil Law in 1995. She was called to the Ontario Bar and the Quebec Bar in 1997. Belle obtained her Masters of Securities Law from Osgoode Hall in 2003, her thesis was published in Corporate Governance and Securities Law in the 21st Century.
Catherine Chamberlain is Head of Legal and Compliance for Vanguard Investments Canada Inc. Before joining Vanguard in September 2011, Ms. Chamberlain held senior positions at Bank of Montreal Financial Group (BMO). Most recently she was vice president in Compliance for BMO’s Private Client Group where she served as legal and policy counsel.
Ms. Chamberlain is a graduate of Queen’s University, Kingston, and received a Bachelor of Laws degree from the University of New Brunswick. She was admitted to the Ontario Bar in 2003 and has been a member of the Law Society of Upper Canada since 2003
Brian Pynn joined ATB Investor Services in 2010 and has been Chief Compliance Officer of its IIROC-regulated subsidiary (ATB Securities Inc.) since 2012. He has been involved with the investment industry since 1992 after leaving a career in broadcast journalism to join the Vancouver Stock Exchange as a Public Relations Officer and later, a Trading Surveillance Analyst. Between 1996 and 2010 he worked for two independent IDA/IIROC member firms as a Retail Trader, Compliance Manager, and ultimately VP Trading Compliance.
Brian focuses strongly on building a compliance culture through education, collaboration and ensuring the importance of the human element is not lost in an industry that now relies heavily on automation and digital communication to evidence supervision. A lifelong British Columbian until 2010, he now resides just outside of Calgary where he works from home and often in his pajamas!
A long-time compliance professional, Dannielle H. MacDonald joined Nicola Wealth Management Ltd. in 2014 after 10 years as an Assistant Vice-President, Compliance with Raymond James Ltd. holding roles ranging from Trading Compliance to Retail Supervision to internal audit. From 2013-2016 she was the Chair of the Designations Ethics Committee with the Canadian Securities Institute. She had a prior career as a financial planner and manager with RBC. She is a Certified Anti-Money Laundering Specialist and holds the CIM. She is completing her MBA and resides in Vancouver, B.C.
David Balsdon joined Harvest Portfolios Group Inc. in January 2015. Prior to joining Harvest, David has held positions of Chief Operating Officer, Chief Compliance Officer, Secretary-Treasurer and Director at two investment management firms. During his career of over 25 years, David has worked in the areas of operations, financial reporting, compliance, client service and fund product development. David has spent time sitting on investment fund industry committees and boards of investment funds in various capacities.
Julie A. Clarke is General Counsel of the Mandeville group of companies and a Director and Vice Chair of the Private Capital Markets Association of Canada. She is a securities lawyer with over 20 years of legal experience. She has focused her practice on the financial services industry and has an extensive background in market conduct and regulatory matters. Julie has an Honours B.A. from Carleton University, an LL.B. from the University of Western Ontario and an LL.M. from Osgoode Hall Law School. She was called to the Ontario Bar in 1993. Julie spent over 5 years in private practice in Toronto in BLG’s banking and securities litigation group. In 1998 she joined AIC Limited and the Berkshire group of companies. Following Manulife’s acquisition of Berkshire in 2007, Julie held the role of AVP & Chief Counsel of Manulife Securities for over 5 years. In 2014, she re-joined Michael Lee-Chin’s organization, which includes Portland Investment Counsel and Mandeville Private Client.
Kevin Doherty is an executive in TD's Global Anti-Money Laundering Group and is responsible for the anti-money laundering and anti-terrorist financing oversight program for TD Wealth units in Canada, US and Europe, as well as TD Insurance.
Kevin joined TD Wealth in the UK in October 1999 and throughout his career has held a number of senior compliance and regulator approved roles in Regulatory Compliance, Internal Audit, Risk Management and Financial Crime Prevention. He held the Money Laundering Reporting Officer role for over 10 years in TD Wealth's UK businesses and is a previous contributor to the UK industry's Guidance for the UK Financial Sector to combat ML/TF.
Kevin relocated to Toronto from England in early 2016. Prior to joining TD, he worked within the KPMG Regulatory Services group and in private accountancy practice.
He is a Fellow of Chartered Accountancy in England and Wales and has a degree in European Finance & Accounting from Leeds Metropolitan University in Leeds, England.
Marie-Claude is Chief Compliance Officer of BNY Mellon Wealth Management, Advisory Services in Toronto, as well as Chief Compliance Officer for BNY Mellon Trust Company (Cayman) Ltd. Marie-Claude has more than 15 years of professional experience in the investment management industry. Since she joined the firm in 2003 she has taken on increasingly senior roles, including positions as investment analyst, director of client service, vice president of administration and compliance. She was named chief compliance officer in 2012.
Marie-Claude earned her Bachelor of Commerce from McGill University. She is a CFA charterholder and a member of the Toronto CFA Society. She also is a member of the board of directors for BNY Mellon Wealth Management, Advisory Services.
Martha Kane is Chief Compliance Officer (CCO) of Capital Direct Management Ltd. She started her career in front of the investor as a financial planner then moved on to hold various roles in a dealer environment including in product development, operations and compliance as CCO of a national IIROC, MFDA and insurance firm. To compliment her industry experience, Martha served as a Senior Advisor at the BC Securities Commission (BCSC) where she participated in CSA discussions regarding mutual fund fees, targeted reforms and OBSI amongst others. While at the BCSC, Martha also managed examination of Investment Fund Managers, Exempt Market Dealers and Portfolio Managers. She has a Bachelor of Commerce (Hons) from the Asper School of Business as well as a Certified Financial Planner designation (CFP). Martha served on the MFDA Pacific Regional Council Enforcement Hearing Panel for several years, as an industry board member and is active on industry committees.
Michelle Alexander’s areas of expertise include securities law, regulatory issues, analysis and impact of cross-border issues, monitoring and analysis of industry developments, and representation of investment industry positions to securities commissions, self-regulatory organizations and government.
An experienced public speaker and media spokesperson, Michelle actively advocates on behalf of the industry on matters relating to existing and new regulatory and legislative initiatives, with a focus on retail sales issues and compliance.
Prior to the IIAC becoming a separate entity from the Investment Dealers Association of Canada (IDA) in 2006, Michelle was the Director of Regulatory Policy with the IDA. She also practiced law at Blake, Cassels & Graydon LLP as an Associate, Corporate Finance & Securities Regulation.
Michelle was called to the Ontario Bar in 1997 after having completed her Bachelor of Laws at Osgoode Hall Law School. She has also successfully completed the Canadian Securities Course and the Partners, Directors and Senior Officers Course.
Nadine Milne is the Chief Compliance Officer for Portland Investment Counsel Inc., responsible for Investment Fund Manager, Portfolio Manager and Exempt Market Dealer activities. Nadine has been working in the securities industry since 1998 and in a compliance role since 2007. Nadine has been with Portland Investment Counsel Inc. since September 2009 and was previously employed with an affiliate, AIC Limited from July 1999 holding a number of accounting and compliance roles. Nadine graduated from York University and in 2001, gained a CPA, CMA designation. Nadine also serves as the Co-Chair of the Private Capital Markets Association of Canada’s Compliance Network.
After obtaining her J.D. in 2001, Paula Amy Hewitt articled and practised primarily in securities law, initially in private practice as a transactional lawyer at Bay Street firms. Between 2009 and 2015, Paula worked at Dundee holding various positions with its dealer affiliates including Head of Legal, Designated Privacy Officer, Chief Compliance Officer and Chief Anti-Money Laundering. In January 2016, Paula join Macquarie Capital Markets Canada as its Chief Compliance Officer.
Paula holds several industry qualifications: Certificate in Investment Dealer Compliance from the Canadian Securities Institute, Certified Anti-Money Laundering Specialist (CAMS), Canadian Risk Manager (CRM), Certified Information Privacy Manager (CIPM), Certified Information Privacy Professional/Canada (CIPP/C), and Certified Information Privacy Technologist (CIPT) certifications.
Supriya is currently Chief Compliance Officer and a member of the management team at West Face Capital Inc., an alternative asset manager which focuses on distressed, event-driven, opportunistic and special situation investments.
Supriya has approximately 25 yeas experience in the financial services industry with approximately 18 years in regulatory compliance for Investment Fund Managers, Portfolio Managers and dealers across Canada and the US, and across retail, institutional, private and public products.
Prior to West Face, Supriya was Sr. Vice President, Chief Compliance Officer and Partner at Canoe Financial; previous to Canoe Financial she was Vice-President and Chief Compliance Officer at Mulvihill Capital Management.
Supriya is the Chair of PMAC’s Practices and Standards Committee, a member of AIMA’s Legal & Finance and Compliance & Operations committees, a member of the Canadian Committee of the US-based NSCP, and presents at conferences and seminars in Canada and the US. Additionally, Supriya is the co-author of “Managing Risk” Chapter with Scott McEvoy, BLG, in “How to Start and Grow a Successful Hedge Fund in Canada” (2014).
Supriya has a CPA designation from Delaware.
Debra brings over 30 years of financial services experience to Nest Wealth. She was previously the Chief Compliance Officer at Genfund, CBID and Questrade and in senior level roles at Marathon Brokerage and CT Securities. Deb excels at building customer-centric environments focused on creating innovative solutions and transparent processes within a culture focused on strict compliance.
Neville is the Chief Compliance Officer at WealthBar, a Vancouver based digital portfolio manager. WealthBar provides a unique approach to wealth management, using technology to deliver low cost advice and an engaging client experience.
Neville joined WealthBar in 2013 as the company was launching. His responsibilities include monitoring, analyzing and implementing advances in technology, financial innovation and regulation. He believes the integrity of capital markets and client protection can be enhanced through the application of technology and regulation.
Neville’s experience prior to joining WealthBar encompasses compliance, portfolio management, investment product development, operations, research and analysis.
Hugo Lacroix has headed the Investment Funds division (Direction principale des fonds d’investissement) at the Autorité des marchés financiers (“AMF”) since November 2015. His appointment as senior director has given him the opportunity to bring his investment products expertise and his passion for talent development to a multidisciplinary 20-person team responsible for oversight of investment funds and other savings products in Québec.
Hugo holds a BA in law and is a member of the Québec Bar. He began his career as legal counsel and chief compliance officer at various financial institutions and asset management firms. This experience fostered his sense of business ethics, which he honed by obtaining a graduate diploma in applied ethics.
On the strength of his investment fund expertise, Hugo joined the AMF as an investment fund analyst in September 2011. His primary responsibilities were to represent the AMF on various committees of the Canadian Securities Administrators (CSA) and co-ordinate the AMF’s participation in the International Organization of Securities Commissions (IOSCO).
In recognition of Hugo’s leadership qualities, the AMF subsequently assigned him to head its Case Assessment and Cybersurveillance division, where he developed a management approach based on employee engagement and accountability which he has implemented in the Investment Funds division. Hugo shares his principles of integrity and transparency with the members of his new team and is known for fostering team spirit that is conducive to the accomplishment of ambitious projects.
Jennifer is a partner with Grant Thornton LLP and leads nationally the firm’s Forensic and AML Services practices. Jennifer is a qualified investigation and forensic accountant and is an anti-money laundering (“AML”) specialist.
Jennifer has had a focus within her practice over the last 15 years on Fraud and Anti-Money Laundering projects, working across all AML regulated sectors and with regulators. Jennifer has investigated, reported and managed numerous fraud investigations involving both civil and criminal allegations. Her introduction to forensic accounting and the proceeds of crime started with a two year secondment with an RCMP investigative unit working as the forensic accountant on criminal cases.
Today she regularly works with clients to understand fraud and money laundering risks, to implement strategies to prevent and detect fraud, meet the requirements of government legislation, perform effectiveness reviews and lead regulator remediation projects.
As Vice President of Sales, John leads the Sales and Client Management teams responsible for all client retention and development at UNIVERIS. Prior to joining the software industry, John enjoyed a 15 year career in the Financial Services Industry with Royal Trust, Royal Bank of Canada and Citibank. During that time, John held progressively senior roles within various lines of business but primarily in Global Private Banking and Mergers & Acquisitions. He has worked in locations such as the Channel Islands, Isle of Man, Switzerland, Bermuda and New York. After his role as Vice President within Citibank’s Private Banking Group, John brought his extensive financial services experience to the software industry . John is a graduate of Ottawa University and is fluently bilingual.
Richard Binnendyk joined UNIVERIS in 1994. His commitment, experience and accomplishments since then have been a key factor in helping UNIVERIS grow to be one of the leading software firms in the Canadian financial services sector. His in-depth knowledge of the dealer business continues to benefit UNIVERIS clients on a daily basis. In his current capacity as Executive Vice President, Enterprise Wealth Management, Richard is a key contributor to UNIVERIS’ product direction, strategy, client relations and business development. Due to his extensive industry knowledge, Richard is also a regular presenter at industry events, UNIVERIS client conferences and the UNIVERIS Summit. Richard holds a BES from the University of Waterloo and an MBA from Queens University.