A list of individuals who have been sanctioned by the OSC and other Canadian securities regulators. Maureen Jensen is the Chair and Chief Executive Officer of the Ontario Securities Commission (OSC), which administers and enforces securities law in the capital markets of the province of Ontario. Before that, he headed the CIBC’s Canadian compliance operations and had led the litigation groups of CIBC and Merrill Lynch Canada. Law Society of Ontario The Mutual Fund Dealers Association of Canada (MFDA) is an SRO that regulates mutual fund dealers and representatives in the following provinces: Alberta, British Columbia, Manitoba, New Brunswick, Nova Scotia, Ontario, Prince Edward Island and Saskatchewan. He is a CFA charterholder, and he graduated with a master’s degree in Accounting and a bachelor’s degree in Mathematics from the University of Waterloo. Cathie Armour is one of the Commissioners of the Australian Securities and Investments Commission ("ASIC"). Mr. Poloz has taught economics at the University of Western Ontario, Concordia University and Queen’s School of Business. During his years of private practice, Mr. Cook worked extensively on broker-dealer regulation, advising large and small firms on a wide range of compliance matters. All rights reserved. Since 2003, Ms. Byberg has held several executive positions at the OSC, most recently serving as the Director of the OSC’s Strategy and Operations Branch, overseeing the OSC’s business planning, policy prioritization and risk management processes. Legislation | Prior to joining the OSC, Ms. Byberg was Senior Counsel, Regulation at the Investment Funds Institute of Canada. She joined the OSC in October 2012. Beata Caranci is the Chief Economist for TD Bank Group. What is an Investment Advisor and how do you choose one? The minister has also served as chief of staff in the offices of then-Minister of Labour Elizabeth Witmer and former Toronto Mayor Mel Lastman. He is also a frequent media commentator on global economic and financial trends, appearing regularly on CNBC, BNN and other networks. Cathie began as a Commissioner on 3 June 2013 and her term continues until June 2022. news releases, events and reports. Uncovering opportunity amid uncertainty Joe Brusuelas provides macroeconomic perspective to help RSM clients anticipate and address the unique issues and challenges facing their businesses and the industries in which they operate. In addition, the Division reviewed and acted on proposed rule filings and new product listings from self-regulatory organizations, including the securities exchanges and FINRA, and was responsible for implementing a range of initiatives and studies generated by the Dodd-Frank and JOBS Acts. This Website provides legal information and referrals. Leslie Byberg is the Executive Director of the Ontario Securities Commission. It does this by: Anyone who sells securities or gives advice about securities in Ontario must be registered with the Ontario Securities Commission. OSC and IIROC Seek Tips to Help Prosecute Short Sale Market... CSA ban on certain mutual fund trailing commissions takes effect June 1st, 2022. Developments at the OSC including changes in governance and structure as well as reports and other publications. René Sorell is a partner in the Business Law Group of McCarthy Tétrault LLP in Toronto. Français. His team is responsible for regulating corporate issuers and leading issuer-related policy initiatives. Susan joined the staff of the Ontario Securities Commission in 1997. Securities Act (Ontario) means the Securities Act, R.S.O. He holds a Bachelor of Arts degree from the University of Western Ontario and a Bachelor of Arts degree in Journalism from University of King's College, Halifax.​. Howe Institute’s Business Cycle Council, the group that dates recessions and other economic turning points in Canada. Resolving problems with your Investment Advisor, Telephone and email solicitations, and investment schemes, Investment Industry Regulatory Organization of Canada, Mutual Fund Dealers Association of Canada. He received a master’s degree in economics in 1979 and a PhD in economics in 1982, both from the University of Western Ontario. News and insight by McCarthy Tétrault's Securities Regulation and Investment Product Group. (9) Subject to the approval of the Minister, the Commission may make a regulation relating to any matter governed by Ontario securities law, despite any other provision of this Act, (a) if, in the opinion of the Commission, there are extraordinary circumstances requiring immediate action to … Eric is also a member of the RBC Investment Strategy Committee (RISC), which is responsible for the firm’s global asset mix recommendations. Investments and Securities He specializes insecurities litigation, white collar and regulatory defence and cross-border matters. Susan Greenglass is the Director of the Market Regulation Branch at the Ontario Securities Commission. Contribution limits and types of RRSP investments, Borrowing from an RRSP to buy a home or go to school, Annuities: RRSP maturity option for seniors. Before joining BaFin, Roegele’s other jobs included being a member of the management board of the Stuttgart Stock Exchange, where she was responsible for market regulation, information technology, personnel matters and the development of derivatives trading. Simon Cameron ... By He has more than 20 years’ experience in the financial services industry. Before joining the public service, Mr. Rudin taught economics at the University of British Columbia and at Queen’s University. His practice focused on the regulation of securities markets and market intermediaries, including securities firms, exchanges, alternative trading systems and clearing agencies. Mr. Tal is a member of the Economic Committee of The Canadian Chamber of Commerce, The Economic Development Committee of the Toronto Board of Trade. Contact an Empire Life Mr. Fine was previously Associate General Counsel and Managing Director, Retail Investor Solutions Group and Securitization, for Bank of Montreal Financial Group of Companies ("BMOFG") and had almost 20 years experience working in OTC derivatives matters for BMOFG. from Harvard Law School in 1992, a Master of Science in Industrial Relations and Personnel Management from the London School of Economics in 1989, and an A.B. Toronto, ON 1990 (General) July 20, 2001. Ontario Regulation Made under the Securities Act Amending Reg. Inquiries Officers can tell you if a person is registered and the category in which they are registered. For legal advice, contact a lawyer. Elisabeth Roegele was appointed as Chief Executive Director of Securities Supervision at the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) in May 2015. As Governor, he is also Chairman of the Board of Directors of the Bank and a member of the Board of Directors of the Bank for International Settlements (BIS). Subscribe to receive new and important developments at the OSC such as Financial Services Commission of Ontario. From 2010 to 2016, he was senior vice president of communications for Brookfield Asset Management, a leading global alternative asset management company. No spaces allowed, Softcover | 4,076 pages | Semi-Annual – Standing Order Terms Apply. Panel. Debra has a Bachelor of Business Administration from the University of Toledo and a Juris Doctor from the University of Toledo College of Law. Externally, he serves on the C.D. He is Co-Chair of the Laskin Moot, the national bilingual moot court competition in administrative law, and has been a regular guest lecturer on business ethics in the MBA programmes at Queen’s University and York University. Prior to joining the OSC, he was Managing Partner and General Counsel at Difference Capital Inc. This website works best with JavaScript enabled. Legal | Andrew Willis is a business columnist for the Report on Business at The Globe and Mail, based in Toronto. and an LL.B. Accessibility | The team delivers on a wide scope of research, covering the Canadian, U.S., and global economies. The password must be 8-50 characters. The discussion will be wide ranging - from cannabis to crypto assets, from alt funds to big data. They can also tell you which regulatory organization has responsibility, the Investment Industry Regulatory Organization of Canada, or the OSC, and where to send a complaint. Search to determine of if an individual or firm is registered in Canada. By using our website, you acknowledge the use of essential cookies and consent to the use of non-essential cookies, as described in our Cookie Policy. As the senior member of staff, she is responsible for coordinating and managing the OSC’s day-to-day operations, including its core regulatory functions of compliance, supervision, oversight, enforcement and investor outreach. The Market Regulation Branch is responsible for the oversight of marketplaces, self-regulatory organizations and clearing agencies and the development of policy and rule initiatives related to market structure, post trade policy and fixed income. Registering and supervising those in the business of advising on or trading in securities. Mr. Rudin is also a member of the board of directors of the Toronto Centre, a not-for-profit organization that promotes financial stability and access to financial services, particularly in emerging markets and low-income countries. Ms. Byberg also served as the Director of Corporate Finance and Director of Investment Funds (now Investment Funds and Structured Products). Pat has extensive experience with novel fintech businesses. From 2004 to December 2006 she was head of the division for ad hoc disclosure and directors dealings at BaFin. This case study offers a rare glimpse into one regulator’s efforts to promote efficient and effective regulatory oversight and enhance transparency while emphasizing changes that protect investors and guard the integrity of the market. Minister Phillips, MPP for Ajax, assumes his current role following a successful business career. Cannot include your user id. Banks and banking products are regulated by the federal Office of the Superintendent of Financial Institutions (OSFI). She is a fully qualified lawyer and additionally holds a Masters Degree in European and International Business Law from the University of St. Gallen in Switzerland. As Member of the Executive Board of BaFin, Roegele is also a member of the Board of Supervisors of the European Securities and Markets Authority (ESMA) and of the Board of the International Organization of Securities Commissions (IOSCO). Attendance at OSC Dialogue 2019 may be eligible for substantive hours if the sessions are relevant to one’s practice and professional development. While it is legal to sell penny stocks, in some cases the OSC has expressed concerns about high-pressure or unfair sales practices. Jeremy Rudin was appointed Superintendent of Financial Institutions in June 2014, for a seven-year term. Français. The IOSCO CER provides a platform for securities market regulatory experts and economists to discuss emerging risks and market developments. Banking & Financial Services Read Appeals from the Ontario Securities Commission Post-Vavilov Appeals from the Ontario Securities Commission Post-Vavilov Appeals from the Ontario Securities Commission Post-Vavilov . From 1995 to 2001, he was litigation counsel in the OSC’s Enforcement branch, with the last two years as Manager of Litigation. Coming together to regulate today’s global marketplace Regulation to Amend Regulation 1015 of the Revised Regulation of Ontario, 1990 made under the Securities Act in connection with the National Instrument 55-102 (SEDI) May 4, 2001. Empire Life In this role, he led the development of policy measures to support access to credit during the global financial crisis and contributed to many other financial sector policy issues.

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+ How we made $200K with 4M downloads.

How we made $200K with 4M downloads.