Investment Industry Regulatory Organization of Canada

Description

The Investment Industry Regulatory Organization of Canada is a non-profit, national self-regulatory organization. Abbreviation: IIROC/OCRCVM Headquarters: Toronto, Canada CEO: Andrew J. Kriegler VP: Doug Harris Founded: 2008 Chief information officer: Ian Campbell

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Investment Industry Regulatory Organization of Canada Employees

Employee
Years
Job
Industry
Joanne Sewell, MBA, LL.B Joanne Sewell, MBA, LL.B Toronto, Canada Area Details
Joanne Sewell, MBA, LL.B's Investment Industry Regulatory Organization of Canada Experience May 2012 - September 2013
Job Regulatory Compliance Solutions
Industry Financial Services
Experience
Joanne Sewell   November 2013 - Present
Investment Industry Regulatory Organization of Canada   May 2012 - September 2013
Merrill Lynch Canada Inc., Bank of America Merrill Lynch   July 2002 - July 2011
Merrill Lynch HSBC Canada   2000 - 2002
Fortune Financial Management Inc./Infinity Investment Funds Management Inc.   August 1998 - August 2000
Joanne J. Sewell Barrister & Solicitor   1996 - 1998
Ontario Securities Commission  1993 - 1996

Skills
Compliance, Contract Negotiation, Negotiation, Policy, Employee Relations, Risk Management, Securities Law, Risk, Securities Litigation, Corporate Governance, Due Diligence, Corporate Law, Securities, AML, Legal Research, Employment Law, Negotiating Contracts, Alternative Dispute..., Investigations, Investments, Strategic Planning, Litigation, Privacy, Arbitration, Dispute Resolution, Litigation Management, Privacy Law, Securities Regulation, Financial Services, Strategy, Legal Compliance, Financial Risk

Education
Canadian Securities Institute   2013 — 2013
Chief Compliance Officers Course

Canadian Securities Institute   2006 — 2006
Corporate Governance

Canadian Securities Institute   2000 — 2000
Canadian Securities Course

Canadian Securities Institute   1999 — 1999
Partners Directors and Officers Course

Law Society of Upper Canada   1992 — 1992
Bar Admission

Dalhousie University   1985 — 1990
MBA/LL.B, Law; Management

University of Toronto - University of St. Michael's College   1980 — 1984
Bachelor of Arts (Hons.), Commerce & Economics

Nahal Nicole Nabavi Nahal Nicole Nabavi San Francisco Bay Area Details
Nahal Nicole Nabavi's Investment Industry Regulatory Organization of Canada Experience June 2009 - September 2009
Job Wealth Management
Industry Banking
Experience
TD Waterhouse  January 2012 - August 2013
TD Canada Trust  November 2010 - February 2012
Investment Industry Regulatory Organization of Canada   June 2009 - September 2009
Department of Commerce  September 2008 - April 2009
Brisbane City Council  June 2008 - September 2008

Skills
Experienced with..., Experienced with Trim,..., Proficient in Microsoft..., Ability to type at a..., Ability to identify..., Advanced administrative..., Good mathematical skills, Ability to maintain..., Great public relations, Open to learning and..., Very detail oriented..., Able to work in a fast..., Very punctual and..., Excellent interpersonal..., Self-motivated and able..., Incredibly flexible and..., Very reliable and..., Banking, Investments, Microsoft Excel, Loans, Customer Service, Teamwork, Strategic Financial..., Mortgage Lending, Process Improvement, Accounting, Financial Analysis, Risk Management, Customer Satisfaction, Wealth Management, Credit

Education
Ulster University   2009 — 2010
Graduate Diploma, Accounting

York University   2002 — 2006
Bachelor of Arts, Business; Economics & Geography

Chilwin Cheng Chilwin Cheng Vancouver, Canada Area Details
Chilwin Cheng's Investment Industry Regulatory Organization of Canada Experience June 2008 - August 2008
Job Wise lawyer, tested executive, and tenacious "entre(and intra)preneur"
Industry Legal Services
Experience
Ascendion Law formerly Legal Process Solutions   August 2008 - Present
College of Registered Nurses of BC  2010 - Present
Paradigm Shift Solutions Inc.   August 2008 - Present
Bull, Housser & Tupper   September 2012 - September 2013
Northaven Resources Corp.   January 2011 - January 2013
Vantage Point  April 2005 - February 2011
Investment Industry Regulatory Organization of Canada   June 2008 - August 2008
Market Regulation Services Inc.   January 2005 - August 2008
Market Regulation Services inc.   January 2002 - January 2005
BRITISH COLUMBIA SECURITIES COMMISSION  January 2000 - January 2002

Skills
Corporate Law, Privacy Law, Corporate Governance, Due Diligence, Litigation, Commercial Litigation, Legal Advice, Securities Regulation, Employment Law, Start-ups, Technology Solutions, Strategy, Securities, Intellectual Property, Technology Software, Legal Assistance, Governance, Joint Ventures, Entrepreneurship, Mediation, Management Consulting, Business Strategy, Finance, Dispute Resolution, Nonprofits, Licensing, Restructuring, Legal Research, Appeals, Mergers & Acquisitions, Courts, Venture Capital

Education
Simon Fraser University   2006 — 2008
Master, Business Administration

University of Toronto   1994 — 1997
LLB, Law

Simon Fraser University   1991 — 1994
BA, Economics, Business

Milton Chan Milton Chan Toronto, Canada Area Details
Milton Chan's Investment Industry Regulatory Organization of Canada Experience July 2007 - March 2013
Job Chief of Staff, Office of the Minister of Aboriginal Affairs, Government of Ontario
Industry Law Practice
Experience
Government of Ontario  February 2014 - Present
Liberal Party of Canada (Ontario)   May 2012 - Present
City of Toronto  January 2012 - Present
Government of Ontario  March 2013 - February 2014
Investment Industry Regulatory Organization of Canada   July 2007 - March 2013
Kathleen Wynne Leadership Campaign 2013   October 2012 - January 2013
Michael Ignatieff Leadership Campaign   November 2008 - April 2009
Parliament of Canada  2003 - 2007
Michael Ignatieff Leadership Campaign   January 2006 - December 2006
Ontario Ministry of Labour  May 2006 - August 2006

Skills
Policy Analysis, Strategic Communications, Government, Public Policy, Politics

Education
York University   2004 — 2007
LLB, Law

Ryerson University   2001 — 2004
BComm, Information Technology Management

University of Waterloo   1997 — 2000
Computer Engineering

Amy Goffin Amy Goffin Toronto, Canada Area Details
Amy Goffin's Investment Industry Regulatory Organization of Canada Experience June 2006 - June 2010
Job Senior Business Analyst at TD
Industry Financial Services
Experience
TD  June 2012 - Present
TD Canada Trust  June 2010 - June 2012
Investment Industry Regulatory Organization of Canada   June 2006 - June 2010
CIBC  June 1995 - June 2006
HBC  February 1983 - January 1994

Skills
Project Management, Change Management, Business Analysis, Policy, Business Intelligence, Requirements Analysis, SDLC, Human Resources, DB2, Program Management, Business Requirements, SQL, Systems Analysis, Requirements Gathering, PMO, AML, Visio, Data Modeling, Data Warehousing, ITIL

Education
Seneca College of Applied Arts and Technology   1981 — 1986

Mary Savona, MBA, CFP Mary Savona, MBA, CFP Toronto, Canada Area Details
Mary Savona, MBA, CFP's Investment Industry Regulatory Organization of Canada Experience 2011 - Present
Job Professor, Seneca College
Industry Education Management
Experience
Investment Industry Regulatory Organization of Canada   2011 - Present
Seneca College  January 2009 - Present
Moody's Analytics  2007 - Present
Saxon Financial   October 2004 - December 2008
HSBC Securities  September 2000 - October 2004
TD Waterhouse  September 1999 - September 2000
George Brown College  January 1999 - August 1999

Skills
Investments, Strategic Financial..., Financial Services, Mutual Funds, Strategic Planning

Education
Dalhousie University   2008 — 2010
MBA, Business

Boston College   1988 — 1989
MA, Political Science

University of Toronto - University of St. Michael's College   1982 — 1987
BA, Political Science

Timothy Baikie Timothy Baikie Toronto, Canada Area Details
Timothy Baikie's Investment Industry Regulatory Organization of Canada Experience November 2010 - July 2011
Job Senior Legal Counsel, Market Regulation at Ontario Securities Commission
Industry Legal Services
Experience
Ontario Securities Commission  August 2011 - Present
Osgoode Hall Law School  April 2015 - May 2015
Osgoode Hall Law School  January 2012 - January 2012
Investment Industry Regulatory Organization of Canada   November 2010 - July 2011
Timothy Baikie, Barrister + Solicitor, Capital Markets Consultant   July 2008 - July 2011
Osgoode Hall Law School  January 2010 - January 2010
STR Consulting Ltd.   May 2009 - May 2009
CNSX Markets Inc.   March 2003 - June 2008
Timothy S. Baikie Barrister & Solicitor, Capital Markets Consultant   November 2001 - June 2004
International Securities Consultancy   September 2002 - January 2003

Skills
Corporate Governance, Securities Law, Corporate Law, Compliance, Stock Exchange, Market Microstructure, Capital Markets, Securities, Corporate Finance, Teaching, Securities Regulation, Legal Writing, Litigation, Equities, Mergers & Acquisitions, Cross-border..., Joint Ventures, Employment Law, Trading, Strategy, Financial Services, Legal Advice, Investments

Education
University of Illinois College of Law   1984 — 1985
LL.M (1990), Banking, Securities

University of Illinois at Urbana-Champaign   1984 — 1985
LL.M. (1990), Law

McGill University   1980 — 1984
LL.B., B.C.L., Law

York University - Glendon College   1977 — 1980
B.A., Medieval European and Modern German History, French

June Yee June Yee Toronto, Canada Area Details
June Yee's Investment Industry Regulatory Organization of Canada Experience October 2013 - January 2014
Job Manager, Corporate Communications at Investment Industry Regulatory Organization of Canada
Industry Writing and Editing
Experience
Investment Industry Regulatory Organization of Canada (IIROC)   January 2014 - Present
Investment Industry Regulatory Organization of Canada   October 2013 - January 2014
Self-employed  1989 - January 2014
Morningstar Canada  April 2004 - October 2013
Scotiabank / Scotiabank International   January 2000 - December 2010
50Plus Magazine (now Zoomer magazine)   January 2000 - April 2004
FundMasters   1997 - 1999
BellCharts Inc.   1996 - 1998
Financial Times of Canada / The Globe and Mail   1988 - 1995

Skills
Copy Editing, Publishing, Editorial, Editing, Proofreading, Magazines, Publications, Journalism, Copywriting, Books, Web Content, Feature Articles, Creative Writing, Newsletters, Content Development, Content Management, Newspapers, Press Releases

Education
Ryerson University

University of Toronto
Bachelor of Arts (B.A.), English Literature / Literary Studies, With Distinction

York University - Glendon College
Certificate, Professional and Technical Communication, In progress

Canadian Securities Institute
Canadian Securities Course

Sabrina Tse Sabrina Tse Vancouver, Canada Area Details
Sabrina Tse's Investment Industry Regulatory Organization of Canada Experience August 2008 - Present
Job Manager, Trading Review & Analysis at Investment Industry Regulatory Organization of Canada
Industry Capital Markets
Experience
Investment Industry Regulatory Organization of Canada   August 2008 - Present
Market Regulation Services Inc.   February 2005 - May 2008
CDNX   November 2000 - January 2005
BMO Nesbitt Burns Inc.  August 1999 - October 2000

Skills
Equities, Securities, Trading, Options, Analysis, Leadership, Capital Markets, Derivatives, Trading Systems, Equity Trading, Electronic Trading, Financial Markets

Education
CAIA   2010 — 2011
Chartered Alternative Investment Analyst

The University of British Columbia   1995 — 1999
Bachelor of Commerce, Finance

Ashley Breedon Ashley Breedon Toronto, Canada Area Details
Ashley Breedon's Investment Industry Regulatory Organization of Canada Experience March 2012 - July 2012
Job Marketing Clerk at Centennial College
Industry Public Relations and Communications
Experience
Centennial College  May 2015 - Present
Miller Thomson LLP  September 2013 - April 2015
McGraw-Hill Ryerson  August 2012 - September 2013
Investment Industry Regulatory Organization of Canada   March 2012 - July 2012
Investment Industry Regulatory Organization of Canada   November 2011 - December 2011
The Investment Funds Institute of Canada  April 2011 - August 2011
Special Olympics Ontario  January 2011 - April 2011
Feed the Need in Durham   June 2010 - August 2010
Stikeman Elliott LLP  October 2005 - August 2009

Skills
Media Relations, Copywriting, Public Relations, Social Media, Newsletters, Internal Communications, Corporate Communications, Facebook, Wordpress, Adobe Creative Suite, Fundraising, Non-profits, Research, Photoshop, Speech Writing, Nonprofits, WordPress, Event Planning, Strategic Communications, Event Management, Press Releases, Time Management, Communications Planning, Marketing Communications, Editing, InDesign, Marketing, Proofreading, Blogging, Copy Editing, Training, Social Media Marketing, Social Networking, Feature Articles, Email Marketing, Advertising, Creative Writing, Publications, Business Development, Writing, Web Content

Education
Durham College   2009 — 2011
Advanced Diploma, Public Relations

Durham College   2009 — 2011
Public Relations Advanced Diploma

Keith Punter, CFA Keith Punter, CFA Vancouver, Canada Area Details
Keith Punter, CFA's Investment Industry Regulatory Organization of Canada Experience November 2001 - May 2012
Job Chief Compliance Officer at Wolverton Securities
Industry Investment Management
Experience
Wolverton Securities  February 2015 - Present
Canaccord Genuity Corp.   June 2012 - January 2015
Investment Industry Regulatory Organization of Canada   November 2001 - May 2012
Connor, Clark & Lunn Financial Group   1999 - 2001
ScotiaMcLeod  1997 - 1999
Urban Systems   1996 - 1997
Hara Associates   1994 - 1995

Skills
Financial Institutions, Trading, Compliance, Securities Law, Risk Management, Macroeconomics, Internal Audit, Policy, Audit, Auditing, Securities Regulation, Securities, Capital Markets, Corporate Governance, Hedge Funds, AML, Equities, Fixed Income, Derivatives, Private Equity, Due Diligence, Mutual Funds, Investments, Options, Asset Management, FINRA, Wealth Management, Financial Services, Investment Advisory, Portfolio Management

Education
Carleton University   1992 — 1993
Master of Arts (MA), Economics

Queen's University   1988 — 1992
Bachelor of Arts (Honours), Economics

Martin Kadoury Martin Kadoury Montreal, Canada Area Details
Martin Kadoury's Investment Industry Regulatory Organization of Canada Experience October 2010 - August 2014
Job Alternative Products Manager Directeur Produits Alternatifs Wealth Management Compliance
Industry Financial Services
Experience
Investment Industry Regulatory Organization of Canada   October 2010 - August 2014
MacDougall   June 2008 - September 2010
MacDougall   February 2007 - June 2008
National Bank Financial  February 2006 - February 2007

Skills
Mutual Funds, Securities, Capital Markets, Equities, Investments, Wealth Management, Fixed Income, Bloomberg, Derivatives, Asset Management, AML, Financial Markets, Trading, Options, Investment Advisory, Investment Strategies, Portfolio Management, Hedge Funds, Risk Management, Alternative Investments, Investment Management, Asset Allocation, Financial Services, Financial Risk, Investment Banking, Management, Private Equity, Finance, Financial Analysis, Due Diligence, Bonds, Trading Systems, ETFs, Customer Service, Valuation, FX Options, Microsoft Office, Corporate Governance

Education
CFA Institute

HEC Montréal   2002 — 2006
B.B.A, Accounting and Finance

Cégep Bois-de-Boulogne   1999 — 2002
DEC, Technique administrative

College Marie-de-France   1987 — 1998

Feng Zhan Feng Zhan Cleveland/Akron, Ohio Area Details
Feng Zhan's Investment Industry Regulatory Organization of Canada Experience July 2011 - December 2011
Job Assistant Professor of Finance at John Carroll University's Boler School of Business
Industry Higher Education
Experience
Boler School of Business, John Carroll University   August 2014 - Present
Schulich School of Business, York University  September 2012 - April 2014
Capital Markets CRC Limited   July 2011 - 2013
Investment Industry Regulatory Organization of Canada   July 2011 - December 2011

Skills
Quantitative Analytics, Economics, Data Analysis, Financial Modeling, Stata, Fixed Income, Derivatives, Statistics, Econometrics, Quantitative Finance, SAS, Time Series Analysis, Bloomberg, Statistical Modeling, Quantitative Research, SAS programming

Education
York University - Schulich School of Business   2009 — 2014
Ph.D., Finance

University of Manitoba   2007 — 2009
M.A., Economics

University of Manitoba   2006 — 2007
B.A. (Honours), Economics

University of Manitoba   2000 — 2004
B.Sc., Computer Science

Karen Bilow Karen Bilow Toronto, Canada Area Details
Karen Bilow's Investment Industry Regulatory Organization of Canada Experience October 2012 - November 2012
Job Executive Assistant at RPGResource Planning Group Inc.
Industry Executive Office
Experience
RPG-Resource Planning Group Inc.   March 2013 - Present
ACE Group  November 2012 - February 2013
Investment industry Regulatory Organization of Canada   October 2012 - November 2012
Anderson DDB Health & Lifestyle  June 2012 - June 2012
Food & Consumer Products of Canada   May 2012 - June 2012
ACE Group  August 2011 - April 2012
Halsall Associates  November 2000 - July 2011
E-HM Health Services   May 2000 - October 2000
Money Concepts/Fortune Financial/Jennifer Dewling & Associates   September 1997 - May 2000
Ontario Film Development Corporation   June 1997 - August 1997

Skills
C-Level Executive..., Heavy Calendaring, transcribing, MS Office Suite, meeting scheduling, complex national and..., Writing, High Level Of..., Research, Editing, Document Preparation, Proposal Coordination, Conference Coordination, Mac, IBM PC, Legal Documentation, Meeting Planning, Information Processing, Events Organizing, MS Project, Office Management, Office Equipment, Blackberry, High level of..., organization, social media, data analysis, public speaking, seamless, travel management, speedwriting, InDesign, AutoCAD, FrontPage, WordPerfect, Board of Director..., Wordperfect, Proposal Writing, Microsoft Office, Event Planning, Training

Education
YYZ New Toronto Group   2008 — 2008
Adobe InDesign CS3 Fundamentals Certificate

George Brown College   2002 — 2003
Cerficate, AutoCAD 2002

Ontario Business College   1980 — 1981
Administrative Secretarial Diploma

Trenton High School   1978 — 1980
High School Diploma, Business, Communications, Secretarial skills

Deanna Dobrowsky Deanna Dobrowsky Toronto, Canada Area Details
Deanna Dobrowsky's Investment Industry Regulatory Organization of Canada Experience August 2012 - May 2015
Job Vice President, Regulatory
Industry Financial Services
Experience
TMX Group  June 2015 - Present
Investment Industry Regulatory Organization of Canada   August 2012 - May 2015
TMX Group Inc.   October 2007 - August 2012
TSX Group Inc.   October 2003 - October 2007
Torys LLP  April 2000 - October 2003
Canada Trust Company   November 1997 - April 2000
Wildeboer Rand Thomson Apps & Dellelce   May 1996 - November 1997

Skills
Securities Regulation, Securities, Corporate Governance, Capital Markets, Corporate Law, Equities, Legal Writing

Education
The University of British Columbia   1991 — 1994
LLB

Queen's University   1987 — 1991
Bachelor of Commerce

Cezar Gheorghe Cezar Gheorghe Toronto, Canada Area Details
Cezar Gheorghe's Investment Industry Regulatory Organization of Canada Experience September 2011 - Present
Job Director Information Technology at Investment Industry Regulatory of Canada
Industry Financial Services
Experience
Investment Industry Regulatory Organization of Canada   September 2011 - Present
Bank of Montreal  September 2009 - September 2011
Perimeter Financial  December 2004 - July 2009

Skills
ITIL, Integration, Project Management, Infrastructure, Strategic Planning, Management, Financial Markets, SDLC, Vendor Management, Enterprise Architecture, Business Analysis, Risk Management, Disaster Recovery, Business Intelligence, Data Center, Microsoft SQL Server, Trading Systems, Information Technology, Capital Markets, IT Management, Databases, SQL, Software Development, IT Service Management, Equities, IT Strategy, IT Operations, PMP, Solution Architecture, Requirements Analysis, Telecommunications, Requirements Gathering, Governance, Unix, Security, Software Project..., PMO, Agile Methodologies, Project Portfolio..., Visio, Business Process, SOA, Systems Analysis, Project Delivery, Program Management, Business Process..., Solaris, Trading, Cloud Computing, Team Leadership

Education
Harvard Business School   2008 — 2008
Advanced Management Course, Management

Universitatea „Politehnica” din București   1988 — 2003
Master of Engineering (MEng), Computer Engineering

Doug Harris Doug Harris Toronto, Canada Area Details
Doug Harris's Investment Industry Regulatory Organization of Canada Experience June 2008 - February 2014
Job General Counsel and Corporate Secretary at IIROC (Investment Industry Regulatory Organization of Canada)
Industry Capital Markets
Experience
IIROC (Investment Industry Regulatory Organization of Canada)   February 2014 - Present
Investment Industry Regulatory Organization of Canada   June 2008 - February 2014
Osgoode Professional Development  January 2010 - January 2011
Market Regulation Services   January 2005 - June 2008
University of Toronto  July 2002 - December 2004
Wise Persons Committee   January 2003 - December 2003
Torys   January 1994 - August 2000
Supreme Court of Canada  September 1992 - August 1993

Skills
Securities Regulation, Corporate Law, Securities, Corporate Finance, Corporate Governance, Strategy, Capital Markets, Trading, Investments, Legal Research, Board Governance, Not for Profit, Non-profit Board..., Information Security..., Code of Conduct, Mergers & Acquisitions, Private Equity, Due Diligence, Venture Capital

Education
Harvard Law School   2001 — 2006
S.J.D., Law

Harvard Law School   2000 — 2001
LL.M., Law

University of Toronto   1989 — 1992
LL.B., Law

University of Toronto   1987 — 1988
MA, English

University of Toronto - Victoria University   1983 — 1987
BA, English

Etobicoke Collegiate   1978 — 1983
OSSHGD

Lambton Kingsway   1970 — 1982

Keren Stephen Keren Stephen Toronto, Canada Area Details
Keren Stephen's Investment Industry Regulatory Organization of Canada Experience May 2014 - Present
Job Vice President, Finance at Investment Industry Regulatory Organization of Canada
Industry Investment Banking
Experience
Investment Industry Regulatory Organization of Canada   May 2014 - Present
Investment Industry Regulatory Organization of Canada   October 2011 - Present
CIMA  May 2011 - Present
Bank of Montreal  December 2010 - October 2011
Bank of Montreal  October 2009 - December 2010
Amba Research  February 2005 - June 2009
iOM Group of Companies   1995 - 2004

Skills
Risk Management, Financial Modeling, Financial Analysis, Business Analysis, Investments, Capital Markets, Banking, Investment Banking, Managerial Finance, Financial Reporting, Equities, Accounting, Corporate Finance, Forecasting, Business Strategy, Offshore Outsourcing, Outsourcing Management, Financial Regulation, Change Management, Transformational..., Project Management, Information Technology, Compliance and..., Financial Risk, Governance, Analysis, Process Improvement, Internal Controls, Leadership, Mergers & Acquisitions, Management, Finance

Education
Chartered Financial Analyst Institute   2001 — 2004
CFA Charterholder, Financial Investments

Project Management Institute   2009 — 2009
PMP, Project Management

Chartered Institute of Management Accountants UK   1995 — 1995
FCMA, Management Accounting

University of Colombo   1992 — 1995
MBA, Management

Felix Mazer Felix Mazer Toronto, Canada Area Details
Felix Mazer's Investment Industry Regulatory Organization of Canada Experience 2005 - Present
Job Policy Counsel Market Regulation IIROC
Industry Financial Services
Experience
Market Regulation Services Inc.   LawyerInvestment Industry Regulatory Organization of Canada
Investment Industry Regulatory Organization of Canada   2005 - Present

Education
Brooklyn Law School   1996 — 1999

Amelie Veilleux Amelie Veilleux Montreal, Canada Area Details
Amelie Veilleux's Investment Industry Regulatory Organization of Canada Experience November 2002 - Present
Job Financial examiner at Investment Industry Regulatory Organization of Canada
Industry Financial Services
Experience
Investment Industry Regulatory Organization of Canada   November 2002 - Present
KPMG  1996 - 2002

Skills
Financial Reporting, Risk Management, Financial Analysis, Accounting, Internal Controls, Due Diligence, IFRS, Financial Accounting

Education
Université Laval   1993 — 1996
Bachelor's Degree, Business Administration and Management, General

Brian Awad Brian Awad Halifax, Canada Area Details
Brian Awad's Investment Industry Regulatory Organization of Canada Experience 1998 - 2001
Job Partner at McInnes Cooper
Industry Law Practice
Experience
McInnes Cooper  March 2015 - Present
Burchells LLP   June 2001 - February 2015
Investment Industry Regulatory Organization of Canada   1998 - 2001
Ministry of the Attorney General  1995 - 1998

Skills
Commercial Litigation, Dispute Resolution, Legal Research, Securities Regulation, Mediation, Access to Information, Courts, Alternative Dispute..., Administrative Law, Litigation, Civil Litigation, Arbitration

Education
University of Toronto   1990 — 1993
LL.B., Law

Queen's University   1987 — 1990
B.A., Chemistry

QEHS   1984 — 1987

Carolyn Davidson Carolyn Davidson Toronto, Canada Area Details
Carolyn Davidson's Investment Industry Regulatory Organization of Canada Experience February 2008 - 2012
Job Vice President Compliance Testing at Citi
Industry Financial Services
Experience
Citi  June 2015 - Present
MPartners   November 2013 - June 2015
Questrade  June 2012 - November 2013
Investment Industry Regulatory Organization of Canada   February 2008 - 2012
Scotia Securities   2004 - 2008
Scotia McLeod Direct Investing   January 2000 - 2004

Skills
Investments, Mutual Funds, Management, Securities, Bonds, Fixed Income, Capital Markets, Equities, Options, Banking, Risk Management, Derivatives, Trading, Internal Controls, Auditing, Financial Services

Education
Concordia University   1996 — 1999
B Comm, Major Finance, Minor Administrative Management

Canadian Securities Institute
Options Supervisory Course (OPSC)

Cindy Petlock Cindy Petlock Toronto, Canada Area Details
Cindy Petlock's Investment Industry Regulatory Organization of Canada Experience 2007 - 2008
Job General Counsel & Corporate Secretary, Aequitas NEO Exchange Inc.
Industry Financial Services
Experience
CNSX Markets   August 2008 - July 2013
Investment Industry Regulatory Organization of Canada   2007 - 2008
Ontario Securities Commission  February 2001 - November 2007

Skills
Equities, Securities, Capital Markets, Securities Regulation, Corporate Governance, Trading, IPO, Investor Relations, Private Equity, Corporate Finance, Mergers & Acquisitions, Due Diligence, Venture Capital, Corporate Development, Derivatives, Hedge Funds, Private Placements, Financial Markets

Education
Queen's University   1988 — 1991
LLB

University of Waterloo   1982 — 1987
BMath, Math, Business

Giovanni Pellegrino, CPA, CFA Giovanni Pellegrino, CPA, CFA Raleigh-Durham, North Carolina Area Details
Giovanni Pellegrino, CPA, CFA's Investment Industry Regulatory Organization of Canada Experience 2001 - 2004
Job Analytical Finance Professional ► Creates Effective Solutions for Complex Transactions | Driving Financial Success
Industry Financial Services
Experience
Dannyco Professional   2013 - Present
PSP Investments  2009 - 2012
PWL Capital  2004 - 2009
Investment Industry Regulatory Organization of Canada   2001 - 2004
Ernst & Young  1998 - 2001

Skills
Fixed Income, Hedge Funds, Risk Management, Capital Markets, Asset Allocation, Investments, Treasury Management, Financial Accounting, Financial Markets, Financial Projection, Tax-planning, Budget Monitoring, Planning Budgeting &..., Due Diligence, Finance, Financial Analysis, Management, Accounting, Equities, Derivatives, Financial Modeling, Financial Reporting, Financial Risk, Corporate Finance, Auditing, Financial Services, Tax, Financial Planning, Treasury, Internal Audit, Business Analysis, Analysis, Mergers & Acquisitions, Investment Strategies, Investment Management, CPA, Mutual Funds, Wealth Management, Financial Audits, Securities, Budgets, Options, Managerial Finance, Cash Management, Consolidation, Cash Flow

Education
Concordia University
B.Comm., Major in accounting

Concordia University
Graduate Diploma, Accountancy

Pat Douglas Pat Douglas Toronto, Canada Area Details
Pat Douglas's Investment Industry Regulatory Organization of Canada Experience September 2010 - Present
Job Human Resources Professional
Industry Human Resources
Experience
Investment Industry Regulatory Organization of Canada   September 2010 - Present
Scotiabank  2007 - 2009
Scotiabank  2001 - 2007
Scotiabank  1998 - 2001
Scotiabank  1989 - 1998
The Citadel Assurance   1986 - 1989

Education
Royal Roads University
Graduate Certificate in Executive Coaching

University of Toronto
B. A., Anthropology

University of Waterloo
M.A.Sc., Industrial/Organizational Psychology

Colleen Wright Colleen Wright Toronto, Canada Area Details
Colleen Wright's Investment Industry Regulatory Organization of Canada Experience 2010 - Present
Job Lecturer at School of Administrative Studies, York University
Industry Financial Services
Experience
School of Administrative Studies, York University   January 2012 - Present
Investment Industry Regulatory Organization of Canada   2010 - Present
CIBC  2001 - 2008
Merrill Lynch Canada  1999 - 2001
Sprott Securities   1994 - 1999
Toronto Stock Exchange  1993 - 1994
Ernst & Young  1975 - 1983

Skills
Securities, Capital Markets, Compliance, Governance, Risk Management, Banking, Corporate Governance, Corporate Finance, Change Management, Internal Controls, Due Diligence, Policy, Enterprise Risk..., Equities, Investment Banking, SOX, Financial Services, Securities Regulation, Operational Risk, Derivatives

Education
York University - Osgoode Hall Law School   2009 — 2011
LLM, Securities law

Institute of Chartered Accountants of Ontario
CA, Chartered Accountancy

Law Society of Upper Canada
Call, 1990

The University of Western Ontario - Richard Ivey School of Business
Honours Business Administration

York University - Osgoode Hall Law School
LLB, 1988

Stacy Robertson Stacy Robertson Vancouver, Canada Area Details
Stacy Robertson's Investment Industry Regulatory Organization of Canada Experience September 2013 - Present
Job Enforcement Counsel at Investment Industry Regulatory Organization of Canada
Industry Law Practice
Experience
Investment Industry Regulatory Organization of Canada   September 2013 - Present
Watson Goepel Maledy LLP  October 2006 - August 2013
Insurance Corporation of British Columbia  May 2005 - October 2006
Singleton Urquhart LLP  March 1999 - May 2005
Stikeman Elliott LLP  1996 - 1998

Education
University of New Brunswick   1994 — 1997
Bachelor of Law, Law

Moscow State University   1992 — 1992
Summer Study Diploma, Political Science and History

McMaster University   1988 — 1992
Bachelor of Commerce, Business

Charlene McLaughlin Charlene McLaughlin Calgary, Canada Area Details
Charlene McLaughlin's Investment Industry Regulatory Organization of Canada Experience July 2002 - February 2010
Job Legal Counsel
Industry Financial Services
Experience
InvestX Capital Ltd.   Manager Legal, Market RegulationAlberta Securities CommissionNovember 2011 - August 2012
Scott Venturo LLP  June 2011 - November 2011
REAL Compliance Ltd.   June 2011 - November 2011
Frank Capital Partners Inc.   February 2010 - April 2011
Investment Industry Regulatory Organization of Canada   July 2002 - February 2010

Skills
Securities, Corporate Law, Corporate Governance, Legal Assistance, Commercial Litigation, Financial Services, Litigation, Legal Writing, Legal Research, Mergers & Acquisitions, Civil Litigation, Dispute Resolution, Joint Ventures, Due Diligence, Management

Education
The University of British Columbia   1988 — 1991
LL.B., Law

Chapman University   1984 — 1986
B.A., Exercise Physiology (Sports Medicine)

Irene Dizon Irene Dizon Calgary, Canada Area Details
Irene Dizon's Investment Industry Regulatory Organization of Canada Experience 2008 - Present
Job Senior Registration Officer at Investment Industry Regulatory Organization of Canada
Industry Financial Services
Experience
Investment Industry Regulatory Organization of Canada   2008 - Present
Philippine Health Insurance Corporation   2000 - 2008
BMC Forestry Corporation   1996 - 2000

Skills
Recruitment, Securities License, Benefits Administration, Performance Management, Payroll, Training, Office Administration, Supply Management, AML

Education
Benguet State University
Masters in Public Administration, Thesis not completed

Saint Louis University, Baguio City, Philippines
BS Psychology