Mutual Fund Dealers Association of Canada
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
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
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
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
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
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
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
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
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
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
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)
Mutual Fund Dealers Association of Canada January 2009 - Present
Fidelity Investments 2000 - 2008
Education
Concordia University
BA, Political Science
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
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.
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
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
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
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