Mutual Fund Dealers Association of Canada

Description

The Mutual Fund Dealers Association of Canada is a Canadian self-regulatory organization that provides oversight to dealers that distribute mutual funds and exempt fixed income products. It is licensed under all Canadian provincial securities regulators. Founded: 1998 Headquarters: Toronto, Canada Type of business: Organizations based in Canada Abbreviation: MFDA Official language: English, French Purpose: monitors members for compliance and enforces regulations through quasi-judicial proceedings

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Mutual Fund Dealers Association of Canada Employees

Employee
Years
Job
Industry
Luis Margolles Luis Margolles Vancouver, Canada Area Details
Luis Margolles's Mutual Fund Dealers Association of Canada Experience January 2006 - December 2008
Job Compliance Auditor at Primerica Financial Services
Industry Financial Services
Experience
Primerica Financial Services  April 2011 - Present
Qtrade Asset Management   December 2008 - December 2010
Mutual Fund Dealers Association of Canada   January 2006 - December 2008
Primerica  September 1999 - December 2005
Global Mailbox Express LLC   February 1996 - September 1998
Office Automation Asia Inc   January 1994 - January 1998
Shell Canada Ltd.  September 1980 - September 1993

Skills
Compliance ;..., Securities, Financial Services, Risk Management, Mutual Funds, Auditing

Education
The University of British Columbia   1975 — 1980
BComm, Finance and Marketing

Waverley College   1971 — 1974
Bachelor of Commerce (B.Com.), Finance, General

Tyson Mark, CISSP Tyson Mark, CISSP Toronto, Canada Area Details
Tyson Mark, CISSP's Mutual Fund Dealers Association of Canada Experience February 2002 - June 2014
Job Director, Information Technology Operations at Mutual Fund Dealers Association of Canada (MFDA)
Industry Financial Services
Experience
Mutual Fund Dealers Association of Canada (MFDA)   July 2014 - Present
ISC2 CISSP Toronto Chapter   January 2014 - Present
Mutual Fund Dealers Association of Canada   February 2002 - June 2014
ISC2 CISSP Toronto Chapter   January 2012 - December 2013
Quiettouch Inc.   April 2000 - February 2002
IIROC (Investment Industry Regulatory Organization of Canada)   January 1996 - April 2000

Skills
Network Security, Network Design, Network Architecture, ITIL, VPN, IT Operations, Microsoft SQL Server, Network Administration, Cisco Technologies, Business Analysis, Information Security..., VMware, Checkpoint, Blackberry Enterprise..., Incident Management, Security, CISSP, Information Security, Microsoft Exchange, Solution Architecture, CRM, Cloud Computing, Information Technology, Disaster Recovery, Networking

Education
University of Toronto   2014 — 2015
Certificate, Cloud Computing

McMaster University   1992 — 1995
BSc, Science

Candace M. Candace M. Toronto, Canada Area Details
Candace M.'s Mutual Fund Dealers Association of Canada Experience May 2014 - Present
Job Membership Services Coordinator at Mutual Fund Dealers Association of Canada
Industry Financial Services
Experience
Mutual Fund Dealers Association of Canada   May 2014 - Present
Mutual Fund Dealers Association of Canada   January 2012 - May 2014
Mutual Fund Dealers Association of Canada   September 2011 - January 2012
Miccan Marketing   June 2011 - September 2011
Carleton University  September 2010 - April 2011
Carleton University  September 2008 - April 2011
Exopack Performance Films   May 2009 - August 2010

Skills
Social Media Marketing, Social Media, Spanish, Facebook, Microsoft Office, Analysis, Public Speaking, Research, English, Marketing, Event Planning, Microsoft Excel, Human Resources, Leadership, Time Management, Teamwork

Education
Carleton University   2007 — 2011
BIB, International Marketing and Trade

Pickering High School   2003 — 2007

Tim Fallows CIM, CFP Tim Fallows CIM, CFP Toronto, Canada Area Details
Tim Fallows CIM, CFP's Mutual Fund Dealers Association of Canada Experience October 2011 - Present
Job Enforcement Department Case Assessment Officer at Mutual Fund Dealers Association of Canada
Industry Investment Management
Experience
Mutual Fund Dealers Association of Canada   October 2011 - Present

Skills
Wealth Management, Investments, Mutual Funds, Asset Managment, Banking, Risk Management, Securities, Financial Analysis, Canadian Securities..., Equities, AML, Mortgage Lending, Retail Banking, Asset Allocation, Credit, Bonds, Investment Advisory, Capital Markets, Strategic Financial..., Financial Advisory, Portfolio Management, Asset Management, Wealth Management..., Fraud Detection, Investment Strategies, Retirement Planning, ETFs, Wealth, Financial Services, Retirement, Financial Planners, Estate Planning, Financial Planning

Education
Second City Training Centre   2014 — 2015
comedy, Improv - Level E Grad

Certified Fraud Examiner candidate 2015

Seneca College of Applied Arts and Technology   2012 — 2012
Certificate, Financial Crime Analysis

Canadian Securities Institute   2003 — 2012
Certificate, Investment Dealer Compliance, Advanced Investment Advice, Retirement Strategy

University of Toronto School of Continuing Studies   2004 — 2006
Certificate, Financial Analysis and Investment Management

Seneca College of Applied Arts   2001 — 2003
Certificate, Law Enforcement and Security

OSC - Kempenfelt Conference Centre
2015 Securities Enforcement Course, Securities Enforcement training

Workplace Institute Investigations Training
Fundamentals of Investigations

Humber College
Investigations In Canda

Andrew Khang Andrew Khang Toronto, Canada Area Details
Andrew Khang's Mutual Fund Dealers Association of Canada Experience June 2011 - June 2014
Job Senior Systems Administrator
Industry Information Technology and Services
Experience
Mutual Fund Dealers Association of Canada   June 2011 - June 2014
Arrowhead Technology Consulting Services Inc   February 2010 - June 2011
Mutual Fund Dealers Association of Canada   January 2005 - February 2010
Mutual Fund Dealers Association of Canada   December 2003 - January 2005

Skills
Administrative Work, Accpac, Symantec Antivirus, TCP/IP, Active Directory, vSphere, Microsoft Certified..., Citrix, VMware ESX, XP, Cisco Routers, Group Policy, Servers, Citrix Metaframe, Disaster Recovery, RSA enVision, VMware, CompTIA, Windows Server, DFS, RSA Security, Microsoft Exchange, Powershell, TSM, Terminal Services, Backup Exec, Hyper-V, Business Analysis, LANDesk, Business Process Design, System Administration, Blackberry Enterprise..., IIS, SCOM, Dell PowerEdge Servers, Windows 7, VMware Infrastructure, Novell Netware, Microsoft SQL Server, TMG, McAfee, Symantec Endpoint..., Cisco Technologies, Information Technology, Checkpoint, SQL, Microsoft Certified..., WINS, SCCM, 2008 R2

Education
Ryerson University
Information Systems Management

Investment Funds Institute of Canada
Operations Course

Vanessa Gardiner Vanessa Gardiner Toronto, Canada Area Details
Vanessa Gardiner's Mutual Fund Dealers Association of Canada Experience July 2002 - May 2004
Job Director at Scotia Capital Inc.
Industry Capital Markets
Experience
Scotia Capital Inc.  July 2008 - Present
Research Capital Corporation   June 2004 - June 2008
Mutual Fund Dealers Association of Canada   July 2002 - May 2004

Skills
AML, Securities, Risk Management, Fixed Income, Mutual Funds, Capital Markets, Hedge Funds, Portfolio Management, Trading, Wealth Management, Due Diligence, Financial Services, Investment Banking, Investments, Equities, Derivatives, Asset Management, Investment Advisory, Financial Markets, Strategic Financial..., Alternative Investments, Bloomberg, Bonds, Electronic Trading, Equity Trading, Financial Risk, Investment Strategies, Options, Trading Systems, Anti Money Laundering, Financial Planning

Education
Heriot-Watt University   2002 — 2005
M.B.A., General

Teena Sidhu Teena Sidhu Calgary, Canada Area Details
Teena Sidhu's Mutual Fund Dealers Association of Canada Experience October 2007 - October 2008
Job Paralegal at TransCanada PipeLines Limited
Industry Oil & Energy
Experience
TransCanada  August 2014 - Present
Newalta Corporation  April 2011 - August 2014
Yahoo! Canada  October 2008 - February 2011
Right to Play  February 2009 - January 2011
Mutual Fund Dealers Association of Canada   October 2007 - October 2008
Canada Revenue Agency  September 2005 - October 2007
City of Brampton Prosecution Division (Legal Services)   April 2004 - February 2005

Skills
Legal Compliance, Legal Research, Legal Assistance, Corporate Communications, Corporate Governance, Event Management, Community Engagement, Regulatory Compliance, Enforcement, Public Relations, Marketing, Strategic Communications, Editing, Event Planning, Social Media, Fundraising, Social Media Marketing, Corporate Law, Outlook, Microsoft Office, Press Releases, Community Outreach, Time Management, Online Advertising, Contract Negotiation, Corporate Social...

Education
University of Calgary   2012 — 2015

Sheridan College   2003 — 2005

Western University   1998 — 2002
Hons. BA

David E. Sharpe David E. Sharpe Toronto, Canada Area Details
David E. Sharpe's Mutual Fund Dealers Association of Canada Experience 2005 - 2009
Job President & Chief Operating Officer at Bridging Finance Inc.
Industry Financial Services
Experience
Bridging Finance Inc.   2013 - Present
ROI Capital   2012 - 2013
CI Financial/Assante Wealth Management   2009 - 2012
Mutual Fund Dealers Association of Canada   2005 - 2009
Citigroup, Inc./Primerica Financial Services   2003 - 2005
B2B Trust  2001 - 2003
Mackenzie Financial Corporation  1996 - 2001
Borden & Elliot   1995 - 1996

Skills
Corporate Law, Securities, Compliance, Risk Assessment, Risk Management, Investigation, Operational Risk..., Policy, Privacy Law, Due Diligence, Enterprise Risk..., Corporate Governance, Mutual Funds, Financial Services, Securities Regulation, Investment Advisory, Governance, AML, Asset Management, Investment Strategies, Finance, Investments, Financial Risk, Insurance, Equities, Portfolio Management, Wealth Management

Education
Richard Ivey School of Business
Master of Business Administration (MBA)

York University - Osgoode Hall Law School
Master of Laws (LL.M.), Securities Law

Member of the Ontario Bar

Queen's University   1992 — 1995
Bachelor of Laws (LLB)

University of Guelph
Bachelor of Arts (B.A.)

Johnson-Shoyama Graduate School of Public Policy, Univ. of Sask./Univ. of Regina
Professional Director Certification

Clement Wai Clement Wai Toronto, Canada Area Details
Clement Wai's Mutual Fund Dealers Association of Canada Experience October 2005 - Present
Job Enforcement Counsel
Industry Law Practice
Experience
Mutual Fund Dealers Association of Canada   October 2005 - Present
The Central   2006 - Present
Groia & Company   2004 - 2005
Ellyn Law LLP   2003 - 2004
Blaney McMurtry LLP  2001 - 2003

Skills
Administrative Law, Securities Litigation, Securities Regulation, Mutual Funds, Real Estate Investor, Music Industry, Litigation, Civil Litigation, Corporate Law, Employment Law, Courts

Education
Queen's University   1998 — 2001
Bachelor of Laws (LL.B.), Law

Seton Hall Law School   1999 — 1999
International Law and Legal Studies

University of Toronto   1993 — 1997
Bachelor of Science (Honours), Archeology and Physical Anthropology

CSI Global Education Inc.

Investment Funds Institute of Canada
Canadian Investment Funds Course

Hugh Corbett Hugh Corbett Toronto, Canada Area Details
Hugh Corbett's Mutual Fund Dealers Association of Canada Experience July 2013 - March 2015
Job Associate General Counsel at Edward Jones (Canada)
Industry Legal Services
Experience
Edward Jones (Canada)   March 2015 - Present
Mutual Fund Dealers Association of Canada   July 2013 - March 2015
Mutual Fund Dealers Association of Canada   2004 - June 2013
Ontario Securities Commission  1999 - 2003
Morris Rose Ledgett LLP   1993 - 1999

Education
York University - Osgoode Hall Law School
LLM, securities law

University of Toronto
LLB, law

Queen's University
B. Comm (Commerce)

Sheila Daneshvaziri Sheila Daneshvaziri Toronto, Canada Area Details
Sheila Daneshvaziri's Mutual Fund Dealers Association of Canada Experience January 2009 - Present
Job Investigator at Mutual Fund Dealers Association of Canada
Industry Financial Services
Experience
Mutual Fund Dealers Association of Canada   January 2009 - Present
Fidelity Investments  2000 - 2008

Education
Concordia University
BA, Political Science

Edward Moran Edward Moran Toronto, Canada Area Details
Edward Moran's Mutual Fund Dealers Association of Canada Experience July 2015 - Present
Job Case Assessment Officer, Enforcement Department at Mutual Fund Dealers Association of Canada
Industry Financial Services
Experience
Mutual Fund Dealers Association of Canada   July 2015 - Present
Mutual Fund Dealers Association of Canada   January 2014 - July 2015
Mutual Fund Dealers Association of Canada   February 2011 - January 2014

Skills
Office Administration, Politics, Strategic Communications, Public Speaking, Policy, Leadership, Mutual Funds, Securities Regulation, Policy Analysis, Public Policy, Research, Public Relations

Education
Langara College   1999 — 2001

St. Francis Xavier University

Indira Nadarajan Indira Nadarajan Vancouver, Canada Area Details
Indira Nadarajan's Mutual Fund Dealers Association of Canada Experience December 2002 - Present
Job Manager, Investigations
Industry Financial Services
Experience
Canadian Mental Health Association, Vancouver-Burnaby Branch   November 2010 - Present
Mutual Fund Dealers Association of Canada   December 2002 - Present

Skills
Securities Regulation, Securities, Due Diligence, Administrative Law, Corporate Law, Mutual Funds, Legal Writing, Legal Compliance, Fraud, Private Equity, Financial Services, Risk Assessment, IPO, Community Outreach

Education
Concordia University
B.A.

University of Ottawa
LL.B.

Michelle Pong Michelle Pong Toronto, Canada Area Details
Michelle Pong's Mutual Fund Dealers Association of Canada Experience September 2007 - Present
Job Enforcement Counsel at Mutual Fund Dealers Association of Canada
Industry Law Practice
Experience
Mutual Fund Dealers Association of Canada   September 2007 - Present

Skills
Securities Regulation, Legal Research, Corporate Governance, Administrative Law

Education
Queen's University   1998 — 2001
LL.B., Law

Andrew Traetto Andrew Traetto Toronto, Canada Area Details
Andrew Traetto's Mutual Fund Dealers Association of Canada Experience October 2008 - October 2010
Job IT Consultant at 407 ETR
Industry Financial Services
Experience
407 ETR  November 2012 - Present
AGF Management Limited  March 2011 - November 2012
CSI Global Education Inc.  October 2010 - March 2011
Mutual Fund Dealers Association of Canada   October 2008 - October 2010
Mutual Fund Dealers Association of Canada   May 2007 - October 2008

Skills
Analysis, Business Process..., Business Requirements, Enterprise Architecture, Business Analysis, Requirements Gathering, Mutual Funds, Securities, Java, Microsoft SQL Server, Business Systems..., Informatica, SDLC, Risk Management, Oracle SQL, Technical Requirements..., Appian, Corticon, Requirements Analysis, DB2, Business Process Design, Business Process, Compliance, Large Systems..., Process Improvement, SQL, Visio, User Acceptance Testing, Scrum, Agile Leadership, Agile Application..., Agile Project Management, Agile Methodologies

Education
University of Toronto   2010 — 2011
Business Analyst Certificate, Continuing Education

University of Guelph   2003 — 2007
B.Comp, Computer Science

Francis Roy Francis Roy Toronto, Canada Area Details
Francis Roy's Mutual Fund Dealers Association of Canada Experience 2009 - Present
Job Enforcement Counsel at Mutual Fund Dealers Association of Canada
Industry Capital Markets
Experience
Mutual Fund Dealers Association of Canada   2009 - Present
Heenan Blaikie LLP  January 2007 - March 2009
Gowling Lafleur Henderson LLP  2004 - 2006

Skills
Corporate Law, Administrative Law, Corporate Governance, Securities Regulation, Litigation

Education
York University - Osgoode Hall Law School   2000 — 2003
L.L.B., Law

University of Ottawa   1996 — 2000
Bachelor of Commerce (Hons.), Finance, International Management

Veronique Titus Veronique Titus Toronto, Canada Area Details
Veronique Titus's Mutual Fund Dealers Association of Canada Experience March 2007 - June 2007
Job Senior Compliance Officer, Trade Desk at Scotiabank Global Banking and Markets
Industry Banking
Experience
Scotiabank Global Banking and Markets  September 2011 - Present
IIROC (Investment Industry Regulatory Organization of Canada)   2007 - 2013
Scotia Capital  July 2007 - September 2011
Mutual Fund Dealers Association of Canada   March 2007 - June 2007
TD Bank Group  March 2006 - May 2007
TD Bank Group  November 2002 - March 2006

Skills
Financial Risk, Securities, Fixed Income, Equities, Wealth Management, Investments

Education
University of Ottawa   1990 — 2004
Business, Business, Economics