Christine Tabbert is Deputy Director, Operations in the Enforcement Branch of the Ontario Securities Commission. Her career has focused on delivering strategic advice on complex and diverse legal issues to a wide variety of clients, senior management teams and boards of directors. Prior to joining the OSC, Christine was senior political staff in the federal government, serving as Chief of Staff in the Office of the Minister of Veterans Affairs and Associate Minister of National Defence. Christine began her professional career with over 14 years in private practice at Fasken Martineau DuMoulin LLP, where she was an Associate and Partner with a focus on securities and pension litigation. Additionally, Christine served as Vice-Chair of the Ontario Litigation Department where she was responsible for strategic planning for approximately 70 litigators, which included defining the role of litigation technology and litigation support/case management in the region. Following her leadership role in this large national law firm, Christine spent over three years in-house with Manulife Financial and Manulife Securities where she was AVP & Lead Counsel, working primarily in Manulife's investment dealer and mutual fund dealer businesses, and serving as Corporate Secretary to three of Manulife's subsidiary corporations.
2019 Speakers
Nick Cardinale
Chief Compliance Officer, Head of Canadian Wealth Management Compliance
RBC Wealth Management
Nick Cardinale
Chief Compliance Officer, Head of Canadian Wealth Management Compliance,
RBC Wealth Management
Mr. Cardinale is the Chief Compliance Officer for RBC Wealth Management Canada and RBC Dominion Securities Canada Inc. (Wealth Management). Before joining RBC in 2012, Mr. Cardinale was Managing Director - Legal, Risk and Compliance & General Counsel for UBS Bank (Canada) and UBS Investment Management Canada from 2002 to 2012. Prior to his time at UBS, Mr. Cardinale was in-house legal counsel in the financial services industry and commenced his career as a commercial litigation lawyer.
David Linder Q.C., ICD.D
Executive Director
Alberta Securities Commission (ASC)
David Linder Q.C., ICD.D
Executive Director,
Alberta Securities Commission (ASC)
David has been the Executive Director of the Alberta Securities Commission since December 1, 1997. He joined the Commission in August, 1996 as Senior Enforcement Counsel. As Executive Director, David is Chief of Staff and Chief Administrative officer of the Commission, overseeing virtually all Commission operations. David has played a very active role in the Canadian Securities Administrators’ Executive Directors’ Committee, including being the Chair of that Committee from September 2003 to December 2006, and was again appointed to that position in September 2014 for a two year term, which was renewed for a further term in 2016. He also is presently chairing the CSA Systems Governance Committee which oversees all CSA Systems including the National Systems Renewal Project.
David has been actively involved in the interaction between the legal and university communities, teaching Business Law at the University of Calgary, serving on the Law Faculty Council, being a representative of the profession on the Faculty of Law Dean Selection Committee and chairing the fund-raising committee of the Faculty of Law Alumni in its initial campaign. For his efforts, he was awarded a President’s Citation in 1994 and was the inaugural recipient of the Honourable W.K. Moore Award in 2000 for outstanding contributions to the Faculty of Law. In 2010, David was awarded his Queen’s Counsel designation.
Minal Upadhyaya
Vice President, Policy & General Counsel
The Investment Funds Institute of Canada (IFIC)
Minal Upadhyaya
Vice President, Policy & General Counsel ,
The Investment Funds Institute of Canada (IFIC)
Minal Upadhyaya is Vice President, Policy & General Counsel at IFIC where she leads the team responsible for the development of policy positions and responses to regulatory proposals on behalf of the investment funds industry. She is also responsible for the day to day legal needs of the organization. Minal has extensive experience advising investment fund manufacturers, mutual fund dealers and investment dealers on a wide variety of matters. Prior to her role with IFIC, she was with a national wealth management firm for over 13 years, where she managed a team providing advice to senior management, registered representatives and operations groups. Prior to that, Minal was in private practice with firms in Toronto and Halifax.
Margaret Gunawan
Managing Director- Head of Canada Legal & Compliance
BlackRock
Board of Directors
PMAC
Margaret Gunawan
Managing Director- Head of Canada Legal & Compliance ,
BlackRock
Board of Directors ,
PMAC
Margaret Gunawan, Managing Director, is General Counsel and Chief Compliance Officer for BlackRock’s Canadian business. BlackRock is a global investment management and technology solutions firm that, as of December 31, 2018, manages over US$5.98 trillion in assets on behalf of investors worldwide. In her current role leading as Head of Canada L&C and Chief Compliance Officer for the Canadian business, Margaret leads a team of legal and compliance professionals in providing day-to-day advice and support on a wide variety of legal and regulatory issues and strategic projects. Margaret brings over 15 years of experience across investment management and investment funds work, including both public and private funds, securities, pension, general corporate and tax issues affecting registered firms in Canada. As a key member of the Canadian senior management team, she sits on the Canada Executive Committee. Margaret works closely with industry associations and regulators on regulatory development and advocacy issues for BlackRock and the investment management industry. She is a board member of the Portfolio Management Association of Canada and chairs its Industry Regulatory & Tax Committee. She is also a member of the Policy Committee of the Canadian ETF Association and a member of Women in Capital Markets. Given her experience in the changing regulatory environment, Margaret has been an active participant on advocacy issues impacting the industry, which includes speaking at events, writing submissions on regulatory initiatives and participating in meetings with regulators and government officials to discuss market trends and the impact of proposed regulatory changes on investors. Prior to joining BlackRock, Margaret was a counsel at the Royal Bank of Canada, specializing in wealth management, focusing on investment products, retail distribution, estates and trusts. She began her career as an associate at several Toronto law firms. Margaret earned a BA degree in anthropology from the University of Western Ontario and a graduate degree from the Osgoode Hall Law School.
William Donegan
Chief Compliance Officer - Advisory Services
Manulife Financial
William Donegan
Chief Compliance Officer - Advisory Services,
Manulife Financial
William Doneganis Chief Compliance Officer – Advisory Services at Manulife Financial and is responsible for securities and insurance sales compliance in Canada. Prior to joining Manulife Financial, William served as Chief Compliance Officer at Scotia Securities Inc. a member of the Scotiabank Group. Scotia Securities Inc. distributes mutual fund products through the Scotiabank branch network. Other previously held positions include: Chief Legal and Regulatory Officer, Worldsource Wealth Management, Enforcement Counsel, Mutual Fund Dealers Association of Canada and Discipline Counsel, Law Society of Upper Canada. Prior to that he was in private legal practice for 12 years.
Frédéric Pérodeau
Superintendent, Client Services and Distribution Oversight
Autorité des marchés financiers
Frédéric Pérodeau
Superintendent, Client Services and Distribution Oversight,
Autorité des marchés financiers
Mr. Pérodeau has been Superintendent, Client Services and Distribution Oversight of the Autorité des marchés financiers (AMF) since January 2018. In co-operation with over
150 employees, he supervises the activities of representatives and firms in insurance of persons, damage insurance, claims adjustment and financial planning. He also administers the rules governing eligibility for and pursuit of distribution activities while ensuring the issuance of certificates to individuals and the registration of firms.
AMF Client Services and Distribution Oversight is also responsible for assistance services to consumers of financial products and services as well as the AMF Information Centre, in addition to supervising the activities of theChambre de l'assurance de dommages (damage insurance chamber) and the Chambre de la sécurité financière (financial security chamber) and administering the Fonds d'indemnisation des services financiers (financial services compensation fund).
Anne Sonnen
SVP & Chief Compliance Officer
Great-West Lifeco Inc
Anne Sonnen
SVP & Chief Compliance Officer,
Great-West Lifeco Inc
Anne has 25 years’ experience in the legal and financial services industries. Most recently, she served as Chief Compliance and Chief Risk Officer at Capital One in Canada. Prior to that, Anne was at the Bank of Montreal (BMO) where she held the following positions: Global Chief Compliance Officer for BMO’s Wealth and Asset Management businesses; Chief Administrative Officer for the Office of the General Counsel; and Chief of Litigation for BMO’s Canadian retail banking business. She began her career focused on litigation in the enforcement branch at the Ontario Securities Commission and in private practice. Anne has an economics degree from McGill University and completed her law degree from the University of Toronto.
Anne leads our second line global Compliance teams in Canada, the United States and Europe, setting the strategic direction for the management of compliance. She leads the design, implementation and maintenance of our compliance programs, ensuring they comply with governing regulations and associated internal policies. As Chief Compliance Officer (CCO) of Great-West Lifeco, Anne works closely with senior leaders to accelerate business and growth strategies while navigating an external environment increasingly shaped by greater regulation worldwide. Continuing to embed compliance in our culture, business processes, the increased automation of those processes and all of our day-to-day activities key to our ongoing success.
Anne is actively involved in our community, serving on the Board of Pro Bono Legal Ontario, the Governance Committee of the Boulevard Club, and past Cabinet Member of the United Way Greater Toronto Area Campaign.
Denise T. Carson
Chief Compliance Officer, BPIC, Head of Investment Management, Legal and Regulatory Compliance
BMO Financial Group
Denise T. Carson
Chief Compliance Officer, BPIC, Head of Investment Management, Legal and Regulatory Compliance,
BMO Financial Group
As Chief Compliance Officer (CCO), BMO Private Investment Counsel Inc. (BPIC), and Head of Investment Management Canada for BPIC and BMO Nesbitt Burns Inc. (BMO NB), Denise is responsible for ensuring the overall management of Regulatory Compliance for the Business, including Compliance with existing securities law, regulations and internal policies and procedures. Denise is an integral member of the Business Leadership Teams supporting the development of business strategies and providing recommendations with respect to the Enterprise Compliance Framework. Prior to her current role, Denise previously was the CCO for BMO InvestorLine Inc. and Director, BMO Nesbitt Burns Inc.
In her capacity, Denise represents BMO externally in various industry committee meetings sharing best practices, while continually collaborating with the Regulators. Denise is Chair of the Conduct, Compliance and Legal Advisory Section (CCLS) Order Execution Only Sub-Committee, and a Member of the CCLS Education Sub-Committee. Prior to joining BMO in 2011, Denise was at the Investment Industry Regulatory Organization of Canada (IIROC) for 13 years where she held various roles, most recent, Senior Investigator and Senior Business Conduct Compliance Officer. Denise is an active Member of the St. Bernadette Parish in areas such as Finance Committee, Lector, Children Liturgy Teacher, and conducts regular visits to the Parish Senior and Vulnerable Shut-ins.
Denise is a Chartered Professional Accountant, Certified Anti-Money Laundering Specialist and Certified Fraud Examiner.
Alana Dubinski
VP & Chief Compliance Officer
Hewitt Investment Management Inc.
Alana Dubinski
VP & Chief Compliance Officer,
Hewitt Investment Management Inc.
Inya Ivkovic
Vice President, Compliance
State Street Global Advisors, Ltd. (Canada)
Inya Ivkovic
Vice President, Compliance,
State Street Global Advisors, Ltd. (Canada)
As a Compliance professional with 20+ years of industry experience, my primary focus remains on supervision and oversight of compliance activities on behalf of internal and external clients, regulatory compliance, and implementation of best industry practices.
Martin Nigro
CCO / AVP Regulatory Compliance, Asset Management
HSBC Global Asset Management (Canada) Limited
Martin Nigro
CCO / AVP Regulatory Compliance, Asset Management,
HSBC Global Asset Management (Canada) Limited
Martin is a nineteen year professional in the financial industry, with nine years of experience focused on Compliance. He worked as a Financial Planner with Investors Group in Montreal for 6 years before selling his practice and moving to Ireland. There, he managed the operations team of Mercer's Health and Benefits - Wealth division. Upon returning to Montreal, Martin took a Compliance role managing a team tasked with the development and maintenance of processes and procedures for the institutional money management arm of CIBC Asset Management. In 2014, Martin joined HSBC Private Wealth Services in Vancouver as Chief Compliance Officer. Since then, Martin has also held the title of Chief Compliance Officer for HSBC Investment Funds, and starting in 2017, has been the Chief Compliance Officer of HSBC Global Asset Management (Canada).
Martin is a graduate of Concordia University where he received a Bachelors of Commerce in Finance and Marketing and holds the CFP and CAMS designations.
Jessica Mitchell
Chief Compliance Officer
Tri View Capital Ltd.
Jessica Mitchell
Chief Compliance Officer,
Tri View Capital Ltd.
Jessica Mitchell is the Chief Compliance Officer at Tri View Capital Ltd. She completed her Bachelor of Arts Policy Studies, with Honours and a minor in Economics, from Mount Royal University. She serves as a volunteer board member for La Société de la petite enfance et de la famille du Sud de l’Alberta.
Jessica has worked at the firm in various capacities since 2014. As the CCO, Jessica is responsible for establishing and maintaining the firm’s policies and procedures, as well as monitoring and assessing compliance by the firm. Jessica liaises with the management of the firm and deals representatives, issuers, and regulatory bodies.
Matthew Husson
Director, Compliance Legal Counsel
Scotiabank
Matthew Husson
Director, Compliance Legal Counsel ,
Scotiabank
Matt is Director, Compliance Legal Counsel in Global Banking & Markets and Treasury (GBM&T) Canada Compliance at Scotiabank. In this role, Matt is responsible for administering the compliance program and providing advice to the GBM&T business on regulatory matters. Matt is the GBM&T compliance lead for Canadian regulatory developments including OTC derivative regulatory reform. Prior to joining Scotiabank, Matt was an Associate at Miller Thomson LLP where he was a member of the Financial Services practice group.
Matthew Onyeaju, FRM, CAMS
Vice President & Chief Compliance Officer
IPC Investment Corporation
Matthew Onyeaju, FRM, CAMS
Vice President & Chief Compliance Officer,
IPC Investment Corporation
Keri Bush
Vice President, Canadian Banking Compliance
Scotiabank
Keri Bush
Vice President, Canadian Banking Compliance,
Scotiabank
Christine Tabbert
Deputy Director, Operations, Enforcement Division
Ontario Securities Commission
Christine Tabbert
Deputy Director, Operations, Enforcement Division,
Ontario Securities Commission
Rebecca Cowdery
Partner
Borden Ladner Gervais LLP
Rebecca Cowdery
Partner,
Borden Ladner Gervais LLP
Rebecca Cowdery is a partner in the Toronto office of Borden Ladner Gervais LLP. She practices corporate, commercial and securities law, focusing on the compliance, regulatory and governance issues facing participants in the investment management industry, including fund managers, portfolio managers and dealers. She has over 25 years of experience in working with the investment management industry as a lawyer and a regulator. She works with fund managers to establish new products and to manage and administer funds in compliance with applicable regulation. Among other things, she assists fund managers and independent review committees to effectively implement and comply with fund governance regulations in Canada. She also advises firms about effective implementation of the regulatory and compliance requirements for registrants mandated by the Canadian securities regulators. Rebecca joined BLG in November 2003, after nine years as a senior investment funds regulator with the Ontario Securities Commission (OSC). She is a frequent speaker and writer about topics of interest to the investment management industry.
Jason Alcorn
Senior Legal Counsel, Securities
New Brunswick’s Financial and Consumer Services Commission (FCNB)
Jason Alcorn
Senior Legal Counsel, Securities,
New Brunswick’s Financial and Consumer Services Commission (FCNB)
Jason Alcorn is Senior Legal Counsel and Special Advisor to the Executive Director at FCNB. Jason has nearly 13 years’ experience in the field of securities regulation. Jason serves on numerous CSA committees, in particular: the Targeted Reform Project Committee & the Mutual Fund Fees Working Group on Embedded Commissions. Jason is actively engaged in his community, serving on the Board of Governors of the Université de Moncton, CPA NB, the YMCA of Greater Saint John, and the Sheila Hugh Mackay Foundation. He is also a member of the Bretton Woods Committee.
Tim Reibetanz
Senior Counsel & Director; Legal and Regulatory Compliance
BMO Financial Group
Tim Reibetanz
Senior Counsel & Director; Legal and Regulatory Compliance ,
BMO Financial Group
Marsha Gerhart
VP Member Regulation Policy
Investment Industry Regulatory Organization of Canada
Marsha Gerhart
VP Member Regulation Policy,
Investment Industry Regulatory Organization of Canada
Brian Koscak, B.A.(Hon.), M.A., CIP, LL.B, J.D., LL.M
President, General Counsel and Chief Compliance Officer
Pinnacle Wealth Brokers Inc.
Brian Koscak, B.A.(Hon.), M.A., CIP, LL.B, J.D., LL.M
President, General Counsel and Chief Compliance Officer ,
Pinnacle Wealth Brokers Inc.
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 registration and compliance matters.
Brian regularly speaks at conferences and events about the private markets, prospectus exemptions, compliance and registration matters and other securities law topics. Brian also is a frequent author on securities laws and capital raising in Canada generally.
Brian is also a member of the: (a) Alberta Securities Commission’s Exempt Market Dealer Advisory Committee; (b) Vice Chair (and former Chair) of the Private Capital Markets Association of Canada and member of the Executive Committee; and (c) former member of the Ontario Securities Commission’s Exempt Market Advisory Committee.
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.
Cathy Lin, Esq.
Chief Compliance Officer
Burgundy Asset Management Ltd.
Cathy Lin, Esq.
Chief Compliance Officer,
Burgundy Asset Management Ltd.
Cathy is the Chief Compliance Officer of Burgundy Asset Management which is a global investment manager providing discretionary investment management for private clients, foundations, endowments, pensions and family offices in Canada, U.S, and Europe. Cathy has more than 16 years of combined professional experience, with a background in U.S., European, Asian and Canadian securities regulations. Having worked within the legal or compliance departments in the IT and insurance industries and finally landed on asset management, Cathy is a believer that everyone has a role in compliance. Cathy enjoys thinking outside of the box to create training programs that teach the entire firm about regulations. She believes that if people understand the rules and why the rules are important in protecting clients, they will be eager to be compliant.
Cathy is a member of American Bar Association and New York State Bar Association.
Cathy is a member of American Bar Association and New York State Bar Association.
Angela Nikolakakos
SVP, Chief Compliance Officer, General Counsel and Corporate
Natixis Investment Managers
Angela Nikolakakos
SVP, Chief Compliance Officer, General Counsel and Corporate ,
Natixis Investment Managers
Angela Nikolakakos is the General Counsel and Chief Compliance Office of Natixis Investment Managers Canada LP, the investment fund manager of the Natixis Funds. At Natixis, Angela provides ongoing legal, compliance and corporate secretarial advice to all of Natixis’ investment funds, mutual fund corporation and investment fund manager in connection with securities, corporate and regulatory matters such as the creation and development of mutual fund products, distribution issues and continuous disclosure obligations. She is a member of the Legal and Compliance Issues Working Group of the Investment Funds Institute of Canada and a Director of Women General Counsel Canada.
Before joining Natixis in June 2016, Ms. Nikolakakos held senior positions at BMO Financial Group. Most recently she was Senior Counsel & Director in the Wealth Management Group providing legal advice to BMO’s investment funds and fund managers on a wide range of corporate, securities and regulatory issues.
Ms. Nikolakakos practiced law as a partner and as an associate in the Corporate and Securities Group of Gowling WLG’s Toronto Office. She earned her Master of Laws degree from Osgoode Hall Law School, her Bachelor of Laws degree from the University of Windsor and her Bachelor of Commerce degree from the University of Toronto. She also holds a certificate in Regulatory Compliance and Legal Risk Management for Financial Institutions from Osgoode Hall Law School.
Waqas Rana, MBA, CPA, CMA
Vice President & Chief Compliance Officer
The Co-operators Group Limited
Waqas Rana, MBA, CPA, CMA
Vice President & Chief Compliance Officer,
The Co-operators Group Limited
Waqas Rana, Vice President and Chief Compliance Officer is responsible and oversees The Cooperators Group Compliance, anti-money laundering, privacy and Ombudsoffice functions. Mr. Rana has 20 plus years of experience in the financial services industry. Prior to joining The Co-operators, he worked in a similar role for CUMIS and Citigroup (Canada). Previously he held management-level position with Primerica and Assante in Canada and other financial institutions in the USA. He is a Chartered Professional Accountant (CPA, CMA, Ontario), and holds a Bachelor of Science (B-Sc accounting and finance) from University of N. Kentucky, as well as a Master of Business Administration (MBA - finance) from Xavier University, Ohio, USA.
Shawn L. Graham
Deputy General Counsel I Retail Banking & Wealth Management Legal Department
HSBC Bank Canada
Shawn L. Graham
Deputy General Counsel I Retail Banking & Wealth Management Legal Department,
HSBC Bank Canada
Open banking, the concept that would allow customers to share data held by their banks with third parties, such as other financial institutions or fintech companies in order to combine it with data from other sources to yield new benefits to those customers, is gaining traction around the world. But are Canadian FIs ready for it? Explore the concept and the compliance implications:
- Understand the fundamental paradigm shift for financial institutions needed
- Regulatory intervention required by Open Banking
- Developments from around the world to facilitate open banking: GDPR (privacy and control rights) and PSD2 (bank data access rights)
Anticipate and prepare for Open Banking and the Canadian regulatory response.
Prema Thiele
Partner
Borden Ladner Gervais LLP
Prema Thiele
Partner,
Borden Ladner Gervais LLP
Prema Thiele is partner in the Toronto office of Borden Ladner Gervais LLP and is a member of the firm's Partnership Board. She practises corporate and commercial law, including securities law, insurance business law, and mergers and acquisitions. Prema is the Toronto Representative on BLG’s national Professional Committee (which administers BLG’s Professional Excellence Program).
Prema is a leading practitioner in the investment management industry, and represents several Canadian and non-Canadian capital markets participants on ongoing legal and compliance issues in respect of the provision of services, the distribution of securities and the establishment, operation and administration of investment products in Canada.
Prema is a native of Saskatoon, Saskatchewan.
Alejandro Cuartas-Villada
Compliance Manager
Nest Wealth
Alejandro Cuartas-Villada
Compliance Manager ,
Nest Wealth
Donna Spagnolo
Partner
Borden Ladner Gervais LLP
Donna Spagnolo
Partner ,
Borden Ladner Gervais LLP
Donna is a partner in the Toronto office of Borden Ladner Gervais LLP. Donna practices corporate law mainly in the securities and insurance industries, with an emphasis on investment management.
Donna provides advice to securities and insurance industry participants, including investment fund managers, dealers, investment advisers, insurance companies, insurance agents, insurance brokers and other insurance intermediaries, in connection with their day-to-day and their extraordinary activities and focuses on the regulatory, compliance, market conduct and governance issues they face as well as with transactional matters.
Selected by peers for inclusion in the 2019 edition (and since 2011) of The Best Lawyers in Canada® (Mutual Funds Law). Recipient of the 2014 Lexpert® Zenith Award (Corporate Finance and Securities).
Brian Pynn
Chief Compliance Officer
ATB Financial
Brian Pynn
Chief Compliance Officer,
ATB Financial
Brian Pynn has spent more than 25 years in the Canadian investment industry, cutting his teeth in the visitor's centre of the Vancouver Stock Exchange in the early 1990's before moving into various trading opportunities until the 2000 tech market meltdown made him realize that the "safe" money was in compliance! He was a Compliance Manager and VP Trading Compliance for two major IIROC-member firms headquartered in Vancouver before moving to Alberta in 2010 and joining ATB Securities Inc.
As Managing Director of Compliance for ATB Wealth, and Chief Compliance Officer for ATB Securities Inc., Brian is responsible for all regulatory supervision for the retail investment firm which is based, and conducts business exclusively, in Alberta. ATB Wealth currently has approximately 600 employees, 330 IIROC & ASC registrants, and $20 billion AUM. He is a member of two IIAC industry committees and an active volunteer with the IIROC Conduct, Compliance & Legal Section Education Sub-Committee since 2014.
Brian is a huge roller coaster junkie and is jealous of all the Toronto-based attendees who get to visit Wonderland far more often than he ever does!
Danielle Skipp
Chief Operating and Compliance Officer
BloombergSen Investment Partners
Danielle Skipp
Chief Operating and Compliance Officer,
BloombergSen Investment Partners
Danielle is an experienced capital markets lawyer, risk manager and operations professional focusing her talent at creating a strong, positive operational and compliance culture for BloombergSen that promotes and reinforces best practises and integrity. Danielle’s career began as a lawyer in private practise before shifting to legal, compliance and operational roles with CIBC and UBS Canada between 1997 and 2008. In 2009 Danielle helped launch a Toronto based asset manager overseeing all operations. Danielle joined BloombergSen in 2015. Danielle graduated from law at the University of British Columbia at the top of her class and is called to the bar in both British Columbia and Ontario. Danielle has spoken at numerous industry events as an expert on regulatory compliance and operations in the Canadian alternative investment industry. Danielle is the Chair of the Canadian Chapter of 100 Women in Finance, a global organization of more than 15,000 women who collectively strive to make a difference in both industry and community. She is a past chair of the Managers Only Committee of AIMA Canada. Danielle is also a board member of Ridge Canada Cyber Solutions, a Canadian Managing General Insurance Agency providing cyber insurance products, consulting and loss control services to Canada’s insurance agents and brokers.
Scott Selig
Deputy CCO, Canada Compliance
Capital One
Scott Selig
Deputy CCO, Canada Compliance,
Capital One
Scott Selig is the Deputy Chief Compliance Officer for Capital One Canada. Prior to his role with Capital One, Scott was a Director and Vice-President for BMO Nesbitt Burns Inc. overseeing its trade surveillance and internal audit teams; the Deputy Ombudsman for BMO Financial Group responsible for its employee whistle-blower program and Canadian consumer complaints; and in-house legal counsel for BMO Wealth Management. Prior to joining BMO, Scott was a lawyer who specialized in class action securities litigation. Scott is an active volunteer for Pro Bono Ontario providing legal representation for those who need help with civil matters at the Toronto Superior Court of Justice and Small Claims Court.
Dena Staikos
Manager in the Compliance and Registrant Regulation Branch (CRR)
Ontario Securities Commission
Dena Staikos
Manager in the Compliance and Registrant Regulation Branch (CRR),
Ontario Securities Commission
Dena Staikos is a Manager in the Compliance and Registrant Regulation Branch (CRR) of the Ontario Securities Commission (OSC). The CRR branch is responsible for the initial and ongoing registration and compliance oversight of firms, for the development of policy and the review of applications for exemptive relief.
As the Manager of the Dealer Team, Dena is responsible for overseeing the regulation of firms and individuals trading in securities or derivatives in Ontario. Prior to joining the OSC in 2006, Dena worked in the assurance services group at PricewaterhouseCoopers where she obtained her Chartered Professional Accountant designation and focused on the investment funds industry.
Jason Streicher
Senior Legal Counsel
AUM Law
Jason Streicher
Senior Legal Counsel,
AUM Law
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.
Christopher M. Crowe
Managing Partner
SIONIC ADVISORS
Christopher M. Crowe
Managing Partner,
SIONIC ADVISORS
A strategic advisor to global financial institutions in Europe, Asia, Canada and the US. Chris provides guidance on investment processes, leadership on implementing financial regulation, compliance programs, as well as transparency on risk, operational control, and cost reduction opportunities. A strategic and "hands-on" consultant for transformational projects with results achieved in capital markets, wealth, retail banking, insurance and operations of international sites.
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