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Representing Canada's Investment Dealer Firms Media Kit December

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Representing Canada's Investment Dealer Firms Media Kit December Representing Canada’s Investment Dealer Firms Media Kit December 2018 Representing Canada’s Investment Dealer Firms MANDATE THE IIAC: LEADERSHIP FOR CANADA’S INVESTMENT INDUSTRY The IIAC is the constructive voice of Canadian investment dealers when engaging with regulators and governments and supports firms and their clients to promote the fairness, efficiency and integrity of the industry and its markets. WHO WE ARE REPRESENTING CANADA’S INVESTMENT DEALER FIRMS The Investment Industry Association of Canada (IIAC) is the national association representing the position of 120 IIROC-regulated investment Dealer Member firms on securities regulation, public policy and industry issues. These dealer firms are the key intermediaries in Canadian capital markets, accounting for the vast majority of financial advisory services, securities trading and underwriting in public and private markets for governments and corporations. The IIAC’s activities are overseen by a 15-member Board of Directors, drawn from its Dealer Member firms. Board members represent all sectors of Canada’s investment industry, including: • Large retail dealers (non-bank owned) • Medium retail dealers • Small retail dealers • Institutional dealers • Integrated dealers (including bank-owned) Representing Canada’s Investment Dealer Firms BOARD OF DIRECTORS Charyl Galpin (Chair) Martin Lavigne Chief Regulatory Officer President BMO Wealth Management National Bank Financial – Wealth Management Toronto ON Montréal QC Steven Donald (Vice Chair) Andrew Marsh President President and Chief Executive Officer Assante Wealth Management Inc. Richardson GMP Limited Toronto ON Toronto ON Roger Casgrain Sylvain Perreault Executive Vice President Chief Compliance Officer Casgrain & Company Limited Desjardins Group Montréal QC Toronto ON Pruyn Haskins Stuart R. Raftus Managing Director, Co-Head of Global Capital Markets Executive Vice President and Chief Administrative Officer, Scotia Capital Inc. Canaccord Genuity Group Inc., Toronto ON President, Canaccord Genuity Wealth Management (Canada) Toronto ON Dave Kelly Richard Rousseau Senior Vice President Executive Vice-President, Head of Wealth Management, Private Wealth Management, TD Wealth Private Client Group Toronto ON Raymond James Ltd. Toronto ON Jeff Kennedy Ian Russell Managing Director, Equity Capital Markets & Operations Exe President and CEO Cormark Securities Inc. Investment Industry Association of Canada Toronto ON Toronto ON David Lang Deborah Starkman Senior Vice President, Regulatory Compliance & Chief Financial Officer and Corporate Secretary Government Affairs, and Global Chief Compliance Officer GMP Capital Inc. RBC Toronto ON Toronto ON Benoit Lauzé Managing Director & Head, Equity Capital Markets – Global Investment Banking CIBC World Markets Inc. Toronto ON Representing Canada’s Investment Dealer Firms IAN C. W. RUSSELL PRESIDENT AND CHIEF EXECUTIVE OFFICER Ian Russell is President and Chief Executive Officer of the Investment Industry Association of Canada (IIAC), a position he has held since its inauguration in April 2006. Prior to his appointment at the IIAC, Mr. Russell was Senior Vice- President, Industry Relations and Representation, at the Investment Dealers Association of Canada (IDA). In his 20-year tenure with the IDA and the IIAC, he has participated actively in many committees and working groups involved in regulatory and tax issues related to the securities industry and capital markets in Canada. He is a frequent commentator in the media, a regular columnist in industry publications and a sought-after presenter and speaker on industry issues and developments. Mr. Russell is former Chair of the International Council of Securities Associations (ICSA). Mr. Russell has an Honours degree in Economics and Business from the University of Western Ontario, and a postgraduate degree (MSc Economics) from the London School of Economics and Political Science. He has completed the Partners, Directors and Seniors Officers Qualifying Examination and is a Fellow of the Canadian Securities Institute. Representing Canada’s Investment Dealer Firms SUBJECT MATTER EXPERTS Media Inquiries Beverley MacLean Managing Director, Communications [email protected] 416.687.5475 Michelle Alexander Vice President and Corporate Secretary Michelle Alexander’s areas of expertise include securities law, regulatory issues, analysis and impact of cross-border issues, monitoring and analysis of industry developments, and representation of investment industry positions to securities commissions, self-regulatory organizations and government. Michelle actively advocates on behalf of the industry on matters relating to existing and new regulatory and legislative initiatives, with focus on retail sales issues and compliance. Susan Copland Managing Director Susan Copland works with investment industry stakeholders to establish common positions on a wide range of regulatory developments and advocates on the industry’s behalf to improve capital markets regulation in Canada. Susan is involved in regulatory and legislative analysis, current industry issues and trends, regulatory compliance, small dealers and introducing firms, and representation of investment brokerage industry views to securities commissions, self-regulatory organizations and government bodies. Todd Evans, MBA CIM Managing Director Todd Evans is Managing Director at the Investment Industry Association of Canada (IIAC). His areas of knowledge and expertise include fixed income, portfolio management and regulatory issues. Before joining IIAC Todd primarily worked as a fixed income trader for over 20 years at the Bank of Montreal, Merrill Lynch Canada and Scotiabank. Most recently, he also worked for the BMO Capital Markets on Volcker related issues. Todd has a Master’s of Business Administration (Finance) from McMaster University, a BA in Administrative and Commercial Studies from UWO and has his CIM designation. He has also successfully completed numerous courses through the Representing Canada’s Investment Dealer Firms Canadian Securities Institute including the CSC, CPH, PDO, Derivatives Fundamentals and Futures Licensing course. Jack Rando Managing Director Jack Rando’s areas of expertise include tracking industry performance, trends and developments, capital market analysis, and policy formation. He advocates on behalf of the investment industry to federal and provincial governments, securities commissions and other industry participants. Annie Sinigagliese Managing Director Annie Sinigagliese provides representation to the Quebec Member firms and liaises with securities regulators (including the Autorité des Marchés Financiers and the Investment Industry Regulatory Organization of Canada) and the Quebec government. She possesses extensive knowledge of the investment industry having worked for a major financial institution, an IIROC and FINRA regulated broker- dealer, a SEC regulated Investment Advisor, and the TMX Group. Adrian Walrath Assistant Director Adrian Walrath’s areas of expertise include securities law, regulatory issues, monitoring and analysis of industry developments and representation of investment industry positions to securities commissions, self-regulatory organizations and government. She advocates on behalf of industry on matters relating to existing and new regulatory and legislative initiatives, with a focus on retail sales issues and compliance, including the Client Relationship Model (CRM and CRM2). Representing Canada’s Investment Dealer Firms IIAC MEMBER FIRMS Friedberg Mercantile Group Ltd. Acker Finley Inc. Generation Advisors Inc. Acumen Capital Finance Partners Limited GF Securities (Canada) Company Limited AGF Securities (Canada) Limited GMP Securities L.P. Aligned Capital Partners Inc. Goldman Sachs Canada Inc. AltaCorp Capital Inc. Goodwood Inc. Argosy Securities Inc. Gravitas Securities Inc. Assante Capital Management Ltd. Hampton Securities Limited ATB Securities Inc. Harbourfront Wealth Management Inc. AURAY Capital Canada Inc. Haywood Securities Inc. B2B Bank Securities Services Inc. HSBC Securities (Canada) Inc. Barclays Capital Canada Inc. Independent Trading Group (ITG) Inc. BBS Securities Inc. Industrial Alliance Securities Inc. Beacon Securities Limited Instinet Canada Limited BFIN Securities LP Integral Wealth Securities Limited Bloom Burton Interactive Brokers Canada Inc. BMO InvesorLine Inc. Investors Group Securities Inc. BMO Nesbitt Burns Inc. ITG Canada Corp. BNP Paribas (Canada) Securities Inc. J.P. Morgan Securities Canada Inc. Caldwell Securities Ltd. JC Clark Ltd. Canaccord Genuity Corp. JitneyTrade Inc. Canadian ShareOwner Investments Inc. K.J. Harrison & Partners Inc. CanDeal.ca Inc. Lakeshore Securities Inc. Cantor Fitzgerald Canada Corporation Laurentian Bank Securities Inc. Casgrain & Company Limited Leede Jones Gable Inc. CIBC Investor Services Inc. Lightyear Capital Inc. CIBC World Markets Inc. Mackie Research Capital Corporation Citigroup Global Markets Canada Inc. Macquarie Capital Markets Canada Ltd. Clarus Securities Inc. Maison Placements Canada Inc. CMC Markets Canada Inc. Mandeville Private Wealth Inc. Cormark Securities Inc. Manulife Securities Incorporated Credential Securities Inc. Mawer Direct Investing Ltd. Credit Suisse Securities (Canada), Inc. McLean & Partners Wealth Management Ltd. CTI Capital Securities Inc. MD Management Limited Cumberland Private Wealth Management Inc. Merrill Lynch Canada Inc. Desjardins Securities Inc. Middlefield Capital Corporation Deutsche Bank Securities Limited Mirabaud Canada
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