Goshka Folda serves as President and CEO, Investor Economics and Global Head of Research at Strategic Insight (SI), where she leads research initiatives for a wide variety of product and distribution topics. Her areas of focus include the household balance sheet, investment funds industry and financial services industry distribution models, with particular focus on the bank-owned delivery channels. SI provides critical and proprietary data, business intelligence, research and marketing services to the global asset management community.
Ms. Folda has long served the Canadian financial services industry at Investor Economics, a premier Toronto-based research and consulting firm that SI acquired in 2015. Respected as an industry expert, her opinions are frequently quoted in the media and sought after by executives, associates and regulators. Prior to her association with Investor Economics, Ms. Folda was an economist and strategic planning analyst with a major Canadian financial institution. Her broad experience also includes associate research work for a major Italian bank with worldwide interests, with a specialization in international finance.
Ms. Folda graduated with distinction from the Warsaw School of Economics’ Master’s Program in her native Poland and holds a Baccalaureate designation from the prestigious Lester B. Pearson College of the Pacific in Victoria, British Columbia. She is fluent in four languages and has particular knowledge of the various languages and cultures of Eastern Europe. In her spare time, she is an accomplished flamenco performer.
David Tittsworth is a counsel in Ropes & Gray’s investment management practice in Washington, D.C. He provides information and advice to clients on the ever-changing regulatory and legislative landscape for asset management firms. Prior to joining the firm, David was president and CEO of the Investment Adviser Association (IAA) for 18 years. In this position, David advocated on behalf of the investment advisory profession on numerous legislative, regulatory, compliance, and policy issues. Before his long tenure with the IAA, David worked in various positions on Capitol Hill, including serving as Counsel to the House Energy & Commerce Committee chaired by Rep. John Dingell.
As the BCSC’s Manager, Legal Services, Capital Markets Regulation, Zach manages a team of lawyers and professionals working on a wide variety of matters including registration matters; marketplace, exchange and trading issues; SRO oversight (including IIROC and MFDA); conduct of dealers, advisers and investment fund managers; and other issues impacting capital markets. Zach also leads BCSC’s Tech Team, which is involved in fintech support, outreach and analysis. The Tech Team handles a broad spectrum of fintech and regtech matters including crypto-assets, robo-advising, crowdfinancing, AI/machine learning and other technology-focused business models. Zach obtained his JD and MBA degrees from the University of Toronto and has worked in private practice, in-house counsel and regulatory settings.
Brian is the President, Chief Compliance Officer and General Counsel of Pinnacle Wealth Brokers Inc. Brian is licensed to practice law in the Provinces of Alberta and Ontario. Prior to July 2015, Brian was a Partner at the law firm of Cassels Brock & Blackwell LLP located in Toronto, Ontario specializing in corporate and securities law with an emphasis on private and public corporate financing transactions, investment funds and securities regulatory compliance matters. Brian was a member of the Ontario Securities Commission’s Exempt Market Advisory Committee and is a current member of the Alberta Securities Commission’s Exempt Market Dealer Advisory Committee. Brian is also the current Vice Chair (and former Chair) of the Private Capital Markets Association of Canada. Brian obtained his Bachelor of Arts (Honours) in 1987 and Master of Arts (Judicial Administration) in 1988 from Brock University, his LL.B. in 1997 from the University of Windsor Faculty of Law, his J.D. in 1997 from the University of Detroit Mercy School of Law and his LL.M. (Securities) in 2005 from Osgoode Hall Law School.
Kuno Tucker has been Chief Compliance Officer for ITG Canada for over 7 years. He is also CCO for its affiliate company and ATS, MATCHNow. Mr. Tucker has also worked in compliance at Canaccord Genuity, surveillance and audit at IIROC, trading at E*Trade Canada and broke into the financial industry at BPI Mutual Funds. Mr. Tucker also serves as Past Chair of the Ontario District Council, Past Chair of IIROC CLS Institutional Subcommittee, Member of the IIROC CLS Executive Committee and Chair of the nascent IIAC FinTech Committee. Mr. Tucker has his BA Honours from Bishop’s University, MA from York University, LLM in Securities Law from Osgoode and his ICD.D from the Institute of Corporate Directors at the Rotman School of Business. His passions are technology, cycling, tennis, travel and his family.
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).
Rebecca Cowdery is a partner with the Investment Management Group of Borden Ladner Gervais LLP in Toronto. She has worked with the investment management industry as a lawyer and as a regulator for over 30 years. Rebecca is a securities lawyer whose practice focuses on the regulatory, compliance and governance issues facing participants in the investment management industry. Rebecca joined BLG in November 2003 after leaving her role as a senior investment funds regulator with the Ontario Securities Commission. She was at the forefront of all major investment fund regulatory reform initiatives during her tenure at the OSC. Her responsibilities while at the OSC included leading the Canadian regulators’ projects to improve mutual fund governance and disclosure, to establish rules for the structure and operation of mutual funds and to set standards for mutual fund sales practices. She was closely involved in the initial stages of establishing the MFDA as a recognized SRO in Canada for mutual fund dealers. Rebecca participates on committees and initiatives of The Investment Funds Institute of Canada, the Portfolio Management Association of Canada and the Investment Industry Association of Canada.
She speaks and writes regularly on topics of interest to the investment management industry. Rebecca has been selected by her peers for inclusion in the 2018 edition (and since 2008) of The Best Lawyers in Canada (Mutual Funds Law) and was recognized by that publication as the 2012 Toronto Mutual Funds Law Lawyer of the Year. Since 2008, Rebecca has been also recognized in every edition of Lexpert/American Lawyer Guide to the Leading 500 Lawyers in Canada (Investment Funds and Asset Management) and The Canadian Legal Lexpert Directory. She is also recognized in the 2018 and 2017 editions of the Chambers Canada – Canada’s Leading Lawyers for Business (Investment funds).
Rebecca obtained a B.A. and a law degree from the University of Alberta, having lived in Edmonton and Saskatchewan prior to moving to Toronto in 1984.
Jason Alcorn is a Senior Legal Counsel with the Financial and Consumer Services Commission of New Brunswick. He received his BA from UNB and his LLB from the Université de Moncton. He also earned an MPA from the École nationale d’administration (France) and an MA in International Relations from Sciences Po Paris. He is nearing completion of an LLM in Securities Law at Osgoode Hall. Mr. Alcorn has nearly twelve years’ experience working for the FCNB. In his current role, he has been exposed to many areas of securities regulation, notably the registration regime and the exempt market regime. He currently serves on numerous CSA committees, in particular: the Targeted Reform Project Committee (NI 31-103) and the Mutual Fund Fees Working Group on Embedded Commissions.
He is a regular speaker at conferences affecting capital markets participants. He is fluent in both English and French, which has enabled him to also teach over a dozen university courses over the past five years at the Faculties of Law of UNB and Moncton, and the MBA program at UNB Saint John. He is actively engaged in the community, serving on the Board of Governors of the Université de Moncton, CPA NB, the YMCA of Greater Saint John, the Sheila Hugh Mackay Foundation, and he currently chairs the Provincial Libraries Committee of the Law Society of New Brunswick. He is also a member of the Bretton Woods Committee.
Marc-Olivier is Senior Policy Advisor, Supervision of Intermediaries at the Autorité des marchés financiers (AMF). In this position, he is a member the AMF’s steering committee on Fintech and responsible for the working group on online financing platforms. He also participates in the work of the CSA Regulatory Sandbox Committee. Marc-Olivier joined the AMF in 2012 and is a member of the Barreau du Québec.
Inya is a Vice President of State Street Global Advisors and Chief Compliance Officer for State Street Global Advisors, Ltd. (Canada). Her primary focus is supervision and oversight of compliance activities on behalf of SSGA Canada's internal and external clients, regulatory compliance and implementation of best industry practices. Inya has over 20 years of experience in the financial industry, ranging from working as an investment advisor, industry educator, financial writer and compliance professional.
Julie has more than 15 years of experience working in the investment management industry as a lawyer, advocate, and regulator.
Julie joined Burgundy Asset Management Ltd. in 2016 as Vice President, Head of Legal & Compliance. She is a current member of the Burgundy management team and operational governance team. Julie focuses on major firm-wide initiatives with responsibility for all regulatory, legal, and compliance matters. She plays a strategic advisory role on business operations and risk matters.
Prior to joining Burgundy, Julie was In House Legal Counsel at the Portfolio Management Association of Canada (PMAC). During this time, she worked with various securities commissions, self-regulatory organizations and all levels of government while formulating key advocacy positions on behalf of the investment management industry. She also provided support and worked closely with the PMAC Board of Directors. Her expertise was frequently relied upon by portfolio management firms on the effective implementation of regulatory and compliance requirements mandated by Canadian and global regulators. Prior to that, Julie was Legal Counsel in the Corporate Finance Branch at the Ontario Securities Commission (OSC) where she participated in key policy initiatives, including corporate governance policy work, and was responsible for public issuer oversight. Julie began her career as an Associate at the law firm Osler, Hoskin & Harcourt LLP in the Corporate Finance and Mergers & Acquisitions Groups.
Julie holds a Master of Laws (LL.M.) from New York University School of Law and a Bachelor of Laws (LL.B.) from the University of Windsor.
Amy Tsai is OSC LaunchPad’s Senior Regulatory Adviser. OSC LaunchPad is an initiative of the Ontario Securities Commission to modernize regulation to support fintech innovation.
Amy joined the OSC in 2012 and has witnessed first-hand how fintech has disrupted traditional ways of applying securities regulation. Amy has worked with several innovative business models, including Ontario’s first registered online lending platform, initial token offering and private cryptocurrency investment fund.
Keith is the President and CEO of the Canadian Institute of Financial Planners (CIFPs) and the Canadian Institute of Financial Planning (CIFP). Over the past twenty years in the financial services industry, he has led the creation of educational solutions, practitioner support services and advocacy support for financial planners. In 2002, he founded CIFPs as a financial planning membership body, and in 2007 he led the amalgamation of CIFP and CIFPs to create a compete education and practice support solution for the needs of new and practicing financial planners. He has also overseen the successful launch of the fastest growing financial designation in Canada – The Registered Retirement Consultant (RRC®).
He has also previously worked for the Investment Funds Institute of Canada (“IFIC”) in leading the education and member services for the investment funds industry.
He served as a board member of the Financial Planning Standards Council (“FPSC”) from 2001 until 2007. He currently sits as a board member of both The Retirement Planning Association of Canada (“RPAC”) and CIFP. He holds a Bachelor of Administration, a Master of Business Administration – Strategic Planning from Heriot- Watt University in Edinburgh, Scotland, and is currently pursuing his PhD studies.
Janet is Senior Policy Advisor at IFIC. She joined IFIC in January 2017. Prior to that Janet spent the majority of her professional life in practice at Osler Hoskin & Harcourt. She practised in the investment fund, derivatives and corporate finance areas. She built and led the Business Law Department’s Current Awareness and Thought Leadership programs to keep all lawyers up to date on the most current legal and regulatory developments in investment fund, M&A, corporate finance and corporate governance areas of practice. She also was involved in a number of concurrent special projects: Senior Legal Advisor, Canadian Securities Transition Office (CSTO); Chief of Staff, Crawford Panel on Single Securities Regulator; and Staff Member, Five-Year Review Committee, Reviewing the Securities Act (Ontario). Janet has also consulted with one of Canada’s FIs on legal and regulatory compliance in the wealth management division.
Minal Upadhyaya is Vice President Policy and General Counsel with IFIC. She is an experienced executive and senior practitioner with various financial institutions and national law firms, focused on the investment funds and wealth management industry. Minal has been an adviser to the investment funds and wealth management businesses of various financial institutions and practiced law with Osler Hoskin & Harcourt, Donahue Ernst & Young and McInnes Cooper & Robertson. Minal is a graduate of Dalhousie Law School and holds a Bachelor of Science (Hons) from the University of Alberta.
Michael Alger began his career at one of the nation’s largest Financial Institutions where he was responsible for the design and implementation of solutions for the Risk and Compliance groups, including a firm wide roll-out of an Employee Conflicts of Interest system. Mike then took a leap and went to work for a high-profile family office where he was exposed to start-up companies making early stage investment recommendations. Having seen the excitement of a fast-growing technology company, Mike joined StarCompliance in 2016 and now serves as a Product Manager, designing and developing new solutions and products to further enhance the StarCompliance platform and streamline every-day workflows of STAR users. Since joining the team in 2016, Mike has turned tens of thousands of new users into StarCompliance advocates. Mike has over 8 years of experience in the Finance industry and holds a degree from the University of Minnesota, Duluth in Financial Markets Finance and Management Information Systems.
Dave heads up the RBC Wealth Management Canada’s Business Initiatives Team. His team sets and manages business technology investment priorities associated with our Wealth Advisor and Client Experiences. The team’s primary focus is digitalizing and streamlining existing technology tools and end-to-end processes that support our 1,800 Advisor teams, branch management, and $350 Billion in client assets. He has over 30 years experience in the financial industry with retail brokerage as well as institutional businesses.
Dave educational background includes a Bachelor of Commerce from the University of Toronto and is a Chartered Accountant. His interests include skiing, travel, and dragon boating.
Ameeta is the Chief Compliance Officer of MaRS Social Venture Connexion (SVX) in the Centre for Impact Investing. SVX is an impact investing platform for ventures, funds and investors seeking social and/or environmental impact alongside the potential for financial return. SVX is an exempt market dealer registered in the provinces of Ontario, Quebec, Alberta, British Columbia and Saskatchewan.
Ameeta is a Chartered Professional Accountant (CA) with over 20 years of extensive regulatory, compliance, audit, risk management and international work experience. She has provided strategic advice, leadership and operational advisory support throughout her career. She was in charge of Investment Business at the Bermuda Monetary Authority where she operationalized a compliance monitoring regime, risk assessment programs, managed a $100M fixed income portfolio and conducted investigations and enforcement work. Ameeta was a former investments auditor at PriceWaterhouseCoopers and has been with the SVX for more than 2 years where she is responsible for the development, implementation and maintenance of compliance policies, operational procedures and internal control processes as well as preparation of financial budgets and forecasts. She also holds a degree in Finance and Economics from the University of Western Ontario and the CSC, PDO, EMPC and CCO.
Andrew Patrick White is the Founder & CEO of FundApps, a company which provides cloud-based regulation monitoring to investment managers. Founded in 2010, FundApps currently monitors over 3 Trillion USD of assets everyday, servicing 2 of the world's 10 largest hedge funds and 2 of North America’s 10 largest pension funds. FundApps was voted onto the "FinTech50" - a list of 50 European businesses who are transforming financial services. Before FundApps, Andrew created the compliance monitoring software MIG21 at Aquin Components GmbH. He went on to become the Managing Director & Head of Business Development for Aquin International before exiting with a trade sale to State Street in 2008. Andrew holds a degree in Computer Science, Linguistics & German from Trinity College Dublin.
Mark has been the Manager, Legal – Market Regulation at the ASC since October, 2016. In this role, Mark and his team provide legal support to the Market Regulation division, which includes the formulation of policy respecting the oversight of securities and derivatives dealers and markets, the processing of exemptive relief applications from market participants and day-to-day advice on registration and market oversight issues.
Before joining the ASC, Mark practiced securities law, with an emphasis on corporate finance and mergers and acquisition in the energy sector, as a partner at Heenan Blaikie LLP and McCarthy Tetrault LLP and as counsel at Borden Ladner Gervais LLP. Mark was also General Counsel of a TSX listed energy company. Mark has a Bachelor of Laws from the University of Saskatchewan and was called to the Alberta bar in 1998.
Miroslav Petrov is Product Director and co-founder of Fortia Financial Solutions, a Paris based RegTech company which provides AI-powered automation platform. Prior to that, he worked as compliance technology expert and business analyst in the fund management industry. Miroslav graduated from Dauphine University in France.
Kornelija is responsible for coordinating, leading, and managing design, as well as the development and delivery of implementation solutions for key RBC DS strategic and tactical initiatives impacting branch management staff. She is a business sponsor for RBC DS branch management experience and surveillance application.
Kornelija started her career with RBC Dominion Securities in 2001 as an Associate to a Chairman’s Council Investment Advisor. Three years later, she transitioned to a role as a Private Investment Management Co-ordinator to one of RBC Dominion Securities’ biggest discretionary management teams.
Following seven years of working closely with Investment Advisors and Portfolio Managers, Kornelija took on a new challenge in 2007, when she joined the Training and Practice Management Team as a Business Application Specialist. In 2014, she assumed her current role as Manager of Business Initiatives, RBC Wealth Management.
Kornelija holds Diploma of Accounting and Finance. Her interests include reading, fitness and traveling.
Charlene Cieslik is the Chief Anti Money Laundering Officer of Coinsquare, Canada's most secure digital asset exchange for buying bitcoin, ethereum, and other digital currencies.
During her 20 year career, Charlene has held roles as the Chief Compliance Officer, Chief Anti-Money Laundering Officer, Chief Anti-Bribery Officer, and Chief Privacy Officer at several Canadian and Foreign scheduled banks, where she was responsible for the development, remediation, and execution of AML/ATF, anti-bribery, regulatory, and privacy programs. Charlene has worked with several “big 4” accounting firms and a Canadian technology company, assisting global financial institutions with AML/ATF program development, particularly with regard to post-regulatory exam remediation, AML/ATF investigations, and RCM. Charlene holds a Master’s degree in Criminology from the University of Toronto and is a Certified Anti-Money Laundering Specialist, and was an original founder of the Toronto ACAMS Chapter. She has lectured as a Professor at Seneca College and the University in Toronto, and is a regularly featured conference speaker, on the subject of anti-money laundering and sanction compliance.
David Surat is Senior Legal Counsel in the Corporate Finance Branch of the Ontario Securities Commission. He has extensive experience in the field of securities law including the formulation, administration and interpretation of Ontario securities law as it pertains to participants in both the public and private markets. David is currently focussed on compliance and oversight initiatives pertaining to the exempt market.
Prior to joining the OSC, David was a Partner in the Securities, Capital Markets and Public Companies Group at Borden Ladner Gervais LLP and practiced with Osler and AUM Law in the areas of mergers & acquisitions, corporate finance, registration and corporate law.
David obtained his law degree from the University of Toronto and was called to the bar in 1999.
Peter Dunne’s practice focuses on the Canadian investment industry, combining his expertise in securities regulatory matters, fund formation and capital raising to serve clients in this space.
Peter is one of Canada’s leaders in securities regulatory law and was one of the first lawyers in the country to focus his practice on the regulatory aspects of the investment industry. Peter acts for registered dealers, advisers and investment fund managers across the country and provides advice to international firms in connection with operating in Canada. Peter and his team assist in the initial registration of firms and individuals under securities legislation, advise on the regulatory implications of operational matters and liaise with securities regulators on behalf of clients. Peter also represents parties buying or selling registered firms, including both public and private mergers and acquisitions, and advises on reorganizations. Peter has extensive experience representing clients in securities regulatory investigations and enforcement actions.
In addition to his securities regulatory expertise, Peter has extensive experience in fund formation, representing clients in the creation and operation of all manner of funds, including public mutual funds, private pooled funds, hedge funds, private equity and venture capital funds, public and private flow-through limited partnerships, commodity pools, private real estate investment structures and exchange-traded funds. Peter advises clients on the distribution of securities of funds, both by prospectus and under exemptions from the prospectus requirement, and assists in the preparation of prospectuses and offering memoranda. Peter’s experience includes fund mergers, terminations and change of manager transactions, along with the regulatory requirements involved in those transactions.
Peter’s combined experience in securities regulatory matters and fund formation enables him to assist many clients in anticipating and addressing their needs in launching, operating or acquiring a business in the Canadian investment industry.
Peter also represents public and private companies and has extensive experience in public and private capital raising and in listing on stock exchanges and accessing other markets.
Peter is a director of the Private Capital Markets Association of Canada (PCMA), an industry group comprising exempt market dealers, private issuers and other participants in the private capital market in Canada. In this capacity, Peter participates in the formation of regulatory policy in this important aspect of the Canadian investment industry. Peter is a frequent contributor to PCMA publications.
Peter authored materials used in connection with the exempt market products exam – one of the courses designated by the Canadian securities regulators as an exam-based proficiency requirement for registration with an exempt market dealer in Canada. He has also been a guest lecturer on investment funds for the LL.M. program offered by Osgoode Hall Law School and is a frequent speaker at industry conferences.
Maria Carelli is a Senior Accountant in the Compliance and Registrant Regulation Branch of the Ontario Securities Commission. In her role, her responsibilities include leading compliance reviews and other oversight functions of exempt market dealers, scholarship plan dealers, portfolio managers and investment fund managers registered in Ontario.
Prior to joining the Commission, Maria was a business valuator at Fuller Landau LLP in Toronto, Ontario. Maria obtained her designation as a Chartered Business Valuator in 2007, her Chartered Accountant’s designation in 2003 and Bachelor of Business Administration degree from the Schulich School of Business in 2000.
As President of AUM Law, Erez leads a team of lawyers focused on serving the asset management sector in the areas of regulatory compliance, investment funds and corporate law.
Before joining AUM Law, Erez held legal, management and executive roles in the Corporate Finance and Compliance and Registrant Regulation Branches of the Ontario Securities Commission (OSC). He managed the OSC team responsible for the implementation of the new cross-Canada registration regime that came into force in September 2009 (NI 31-103). He later served as Deputy Director and Acting Director of Compliance and Registrant Regulation, in which capacity he was closely involved in the creation of an in-branch team solely dedicated to handling registrant misconduct cases, and in the development of a regulatory framework for administering the significant features of the new regime, including suspension of registration by the Director. During his time at the OSC, Erez led several major Ontario and cross-Canada policy initiatives, including those relating to Sarbanes-Oxley (SOX) and NI 45-106 Prospectus and Registration Exemptions (which introduced the accredited investor exemption across Canada), and chaired the Canadian Securities Administrators (CSA) Working Group on Asset Backed Commercial Paper that authored Securities Regulatory Proposals Stemming from the 2007-08 Credit Market Turmoil and its Effect on the ABCP Market in Canada. He was also chair of the CSA committee on Principal Protected Notes.
Erez has written a range of legal decisions involving the imposition of regulatory sanctions, from terms and conditions on registration to the suspension of a registrant's license.
Jason’s practice is focused on securities compliance and registration matters for portfolio managers, investment fund managers, exempt market dealers and other financial services providers. Jason is also experienced in the establishment of Canadian and cross-border investment vehicles and private placements.
Prior to joining AUM Law, Jason spent 17 years with Stikeman Elliott LLP, with the past nine years focusing on advising clients about all aspects of the securities regulatory regime involving NI 31-103 and NI 33-109, among other areas. In his first years at Stikeman, Jason assisted on multiple public securities offerings and M&A transactions, and assisted reporting issuers with their ongoing compliance requirements.
Jason received his LLB and BCL from McGill University in 1999, and was admitted to the Quebec bar in 2000 and the Ontario bar in 2017.
Stephen Rotstein is the Vice-President, Policy & Regulatory Affairs & General Counsel at Financial Planners Standards Council (FPSC). As part of FPSC’s senior management team, Stephen is responsible for oversight for all public policy and regulatory matters related to financial planning for the Council. In this role, Stephen deals with regulators, government officials and external stakeholders to ensure FPSC’s voice is heard on financial services related matters.
As the FPSC’s General Counsel, Stephen deals with the Council’s day to day legal issues including corporate/commercial, intellectual property, employment and corporate governance issues.
Stephen has extensive public and private sector experience. After a few years in private practice, Stephen joined the Ontario Government and held positions in the Ministry of the Attorney General and the Minister of Finance. Prior to joining FPSC, Stephen served as the Director of Government Relations and General Counsel at the Human Resources Professionals Association (HRPA).
Stephen is active in his community and has held numerous voluntary leadership roles. He is currently the Vice - Chair of the Credit Counselling Society and has previously served as Chair Canadian Corporate Counsel Association (CCCA), Chair of the Four Village Community Health Centre and as a board member of the Canadian Bar Association.
Stephen has his law degree from Osgoode Hall and a BA in political science and history from the University of Western Ontario. He is a member of the Bar in Ontario and New York State and holds the Certified In-House Counsel - Canada certification (CIC.C) granted by the CCCA and the Rotman School of Management of the University of Toronto.
Ashok Menen is an Investigation Counsel with the Ontario Securities Commission’s Office of the Whistleblower (the “OWB”). Ashok is a Chartered Professional Accountant (CPA, CA) and a lawyer. Ashok joined the Enforcement Branch of the Commission over two years ago, working with domestic and international regulators on inter-jurisdictional investigations. He has been involved with the Whistleblower Program since before its launch. Ashok is responsible for reviewing whistleblower submissions, dealing directly with whistleblowers and their submissions and assisting Commission Staff assigned to investigate whistleblower tips. He is also responsible for public enquiries about the Commission’s Whistleblower Program. Prior to joining the OSC, Ashok worked at a Big Four accounting firm and in a global forensic accounting boutique.
Michael Taylor is a senior associate in the Toronto office of Borden Ladner Gervais LLP practicing in the Securities and Capital Markets and Investment Management Groups. His practice focuses on the regulatory requirements applicable to investment funds and advising securities registrants throughout their securities registration and compliance lifecycles. He also has experience in assisting clients with adherence to ISDA protocols and in preparing derivatives documentation.