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  • Toronto Board of Trade | IIAC
    News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Home Member Login Contact Us About the IIAC Who We Are Board of Directors President CEO Subject Matter Experts IIAC Committees Working Groups IIAC Member Firms IIAC Affiliates Industry Job Board Advocacy Submissions Letters Letter from the President Key Issues Successes Activity Updates Member Support Cybersecurity Resource Centre CRM2 Resource Centre Industry Data Publications Public Advisories Institutional Trade Matching Tools Member Benefits Member Kit Members Only Small Dealers Overview Ian Russell on SAID Advocacy SAID Successes Publications Industry Data Tools SAID Committee Meeting Minutes Centres of Higher Learning Media Coverage SAID Events Investors Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take

    Original URL path: http://iiac.ca/locations/toronto-board-of-trade/ (2016-02-14)
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  • IIAC Committees – Serving as Member | IIAC
    member firm recommends one on a topic likely to be of general interest Requests for new Working Group volunteers appear in the IIAC s newsletter Sign up for our weekly newsletter on what s new in our industry and where you may have an opportunity to become involved to help you your firm and your industry Contact Members Membres iiac ca if you are interested in seeing if there is a Working Group of interest to you How do members get picked Committee members are a mix of people assigned and people who volunteer and they must meet the requirements of the committee For any committees on broad based issues IIAC works to ensure a balanced representation of people from firms that are national and regional large and small bank owned and independent institutional and retail For committee member expectations see below Associate members qualify for membership on certain committees In extremely rare occasions a non member but not someone from a non IIAC IIROC firm may participate on a committee although usually as a guest only and for certain meetings or agenda items alone To ensure that committees can be optimally productive IIAC staff use their judgment to determine whether committee participation should be limited to one representative per IIAC member firm or on occasion if access should be restricted for any reason What are the expectations of a committee member Recognizing that committee participation take place on top of each committee member s own work and personal commitments the IIAC works to make the most efficient use of members time To ensure everyone benefits from committee involvement these are the key criteria Member Attributes Have the Knowledge and expertise appropriate to the committee s mandate Time to participate meaningfully Willingness to share knowledge and the committee workload Seniority generally equivalent to that of other committee members Member Commitments To protect the privacy of information of the committee and its committee members by not disclosing information that is confidential or would by a reasonable person be seen as likely to be confidential please click here for more information on the IIAC s Confidentiality Policy To adhere to Canadian competition law requirements please click here for access to the IIAC s Competition Law Policy and Guidelines To declare any conflicts of interest when applicable and withdraw from any meeting should this be requested or when the situation warrants it please click here for more information on the IIAC s Conflicts of Interest Policy Out of respect for the time of other members Come prepared to meetings read agenda and attachments obtain feedback from within their firm as required Attend the majority of meetings Participate in discussion including raising concerns or disagreeing on a timely basis In the agreed timeframe Undertake action items agreed to Obtain any necessary internal sign offs Advise with appropriate notice that a requested action cannot be completed in the required period How are committee Chairs chosen Chairs or Co Chairs and or Vice Chairs are chosen

    Original URL path: http://iiac.ca/iiac-committees-how-to-participate/ (2016-02-14)
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  • Dealer Trade Matching Statements | IIAC
    16 01 2012 Harris Fricker CEO Chris Hill 416 943 6655 Goldman Sachs Canada Inc 28 09 2007 Undated Stefano Zuliani Chief Compliance Officer Stefano Zuliani 416 343 8763 Hampton Securities Ltd 16 08 2013 22 06 2011 Cheryl de Montigny Chief Compliance Officer David Lister 416 862 8654 Haywood Securities Inc 22 08 2013 Undated Bruce Thompson Chief Compliance Officer Mark Maisonville 604 697 7105 HSBC Securities Canada Inc 20 05 2014 Undated Michael A Williams Chief Operating Officer Michael A Williams 416 868 3388 Hugues Ouimet Associates Inc 05 10 2007 Undated Hugues Ouimet President Hélène Dubé 514 843 5050 Incapital Canada ULC 29 10 2013 Undated Jehred Ross Chief Compliance Officer Jehred Ross 416 507 3660 Industrielle Alliance Valeurs Mobilières inc in French only 19 06 2013 13 01 2012 Richard Legault Président Email Instinet Canada Limited 20 08 2013 Undated Kenenth J Klepacki Chief Operating Officer Ken Klepacki 416 304 6365 Integral Wealth Securities 26 06 2013 Undated Tom Wu CFO Tom Wu 416 203 5845 IPC Securities Corporation 16 10 2007 15 10 2007 Steve R Elliott Vice President Chief Compliance Officer email 905 212 0945 ITG Canada Corp 18 06 2013 28 08 2007 Nicholas Thadaney CEO Kuno Tucker 416 874 0830 Jacob Securities 31 07 2012 Undated Sasha Jacob President and CEO Sasha Jacob 416 866 8304 Jennings Capital Inc 25 06 2013 Undated Ann McIntosh Chief Compliance Officer Ann McIntosh 416 304 2194 Jitneytrade Inc 28 07 2014 27 08 2013 Jean François Sabourin President and CEO Jean Francois Sabourin 514 985 8086 Jones Gable Comapny Limited 15 08 2013 Undated Robb Hindson Chief Financial Officer Robb Hindson 416 365 8053 Jordan Capital Markets Inc 25 11 2013 Undated William B Walker CCO Brent Walker 778 373 4123 J P Morgan Securities Canada Inc 01 10 2007 Undated Sara Collins Chief Financial Officer Angie Hodgson 416 981 9135 Kernaghan Partners Ltd 13 01 2016 Undated Mark Van Remortel CEO UDP Mark Van Remortel 416 465 0586 Kingsdale Capital Markets Inc 07 10 2009 Undated Anita Tyler VP Operations CCO Anita Tyler 416 867 4563 Laurentian Bank Securities 15 08 2013 Undated Yves Ruest Vice President Finance and Administration Chief Financial Officer Chief Compliance Officer Yves Ruest 514 350 3070 Leede Financial Markets Inc 26 06 2013 08 2007 Robert Harrison President CEO Noah Dodek 604 658 3265 Lightyear Capital Inc 25 11 2013 Undated Louise M Duchesne Chief Compliance Officer Louise M Duchesne 403 218 1409 Liquidnet Canada Inc 07 08 2013 25 09 2007 Robert Young President and Chief Operating Officer Sophia Lee General Counsel and Chief Compliance Officer 646 674 2144 Loewen Ondaatje McCutcheon Limited LOM 05 07 2007 08 06 2007 Robert Matthews ChiefCompliance Officer Greg Hartman 416 964 4481 MPartners Inc 19 09 2007 Undated Johanna O Reilly Chief Compliance Officer VP Operations hr mpartners ca 416 603 7381 ext 231 MacDougall MacDougall MacTier Inc 21 08 2013 20 08 2013 Noah Billick General Counsel and Chief Compliance

    Original URL path: http://iiac.ca/member-support/institutional-trade-matching/institutional-trade-matching-statement-posting-facility/dealer-trade-matching-statements/ (2016-02-14)
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  • Investment Manager Trade-Matching Statements | IIAC
    09 2007 Undated Reconfirmed 20 09 2013 Tom Junkin Senior Vice President Brad Beuttenmiller 416 957 6010 Fiera YMG Capital Inc 28 09 2007 26 09 2007 Luc Sarrazin Vice President and Chief Financial Officer Denyse Rivest 514 954 3307 Fondation Lucie et André Chagnon 30 11 2007 21 11 2007 Guy Brochu Senior Vice President and Chief Financial Officer Mathieu Poulin 514 380 2001 ext 1083 Financière des professionnels Fonds d investissement Professionals Financial Investment Funds Inc 06 12 2013 Undated André Sirard President Chief Operating Officer Jean Francois Levasseur 514 350 5169 Foyston Gordon Payne Inc 16 08 2007 Undated Reconfirmed 02 08 2013 Mark Thompson Chief Operating Officer Chief Compliance Officer William Cunningham 416 848 1930 Franklin Templeton Investments Corp 01 05 2012 Undated Reconfirmed 20 09 2013 Don F Reed President CEO Brad Beuttenmiller 416 957 6010 GFI Investment Counsel Ltd 06 11 2008 Undated Daniel T Goodman President CEO David A Goodman 416 488 8825 Global Alpha Capital Management Ltd 08 07 2010 29 07 2008 Reconfirmed 16 09 2013 Robert Beauregard Director David Savignac 514 490 2788 Goodman Company Investment Counsel Ltd 27 09 2007 07 09 2007 Todd Beallor Executive VP Jeff Cairns 416 365 8897 Goodreid Investment Counsel Corp 19 09 2007 18 09 2007 Reconfirmed 25 11 2013 Gordon A Reid President CEO Cathy Alfred 416 364 0890 Greystone Managed Investments Inc 13 01 2015 12 01 2015 Jacqueline Hatherly Chief Compliance Officer Senior Legal Counsel Jamie Seaker 306 779 6491 Guardian Capital Advisors LP 29 09 2007 18 09 2007 Reconfirmed 17 07 2013 Darryl Workman Vice President Administration Darryl Workman 416 947 4096 Guardian Capital LP 19 09 2007 18 09 2007 Reconfirmed 17 07 2013 C Verner Christensen Senior Vice President Compliance Secretary Matthew Turner 416 947 3708 GWL Investment Management Ltd 27 09 2007 Undated John Smith President Chief Compliance Officer Mark Pomehichuk Gyrus Investment Management Inc 08 07 2010 22 12 2009 Reconfirmed 16 09 2013 Jim Schetakis Director Jim Schetakis 416 862 2020 Hanover Private Client Corporation 28 09 2007 26 09 2007 Reconfirmed 13 09 2013 Thomas J Trainor Managing Director Tom Trainor 416 594 3222 Hesperian Capital Management Ltd 28 09 2007 10 2010 Reconfirmed 06 08 2013 Craig Millar Chief Investment Officer Paula Sexsmith 403 531 1403 Hexavest Inc 23 11 2007 Undated Reconfirmed 16 09 2013 Michel Lajoie Chief Compliance Officer Michel Lajoie 514 390 7642 Highstreet Asset Management Inc 01 06 2012 01 06 2012 Ben Legge President Mary Irvine 519 963 8293 HIM Monegy Inc 19 09 2007 10 09 2007 Sadhana Valia President Ronald Tooley 416 359 7161 Hospitals of Ontario Pension Plan 17 09 2013 17 09 2013 Barbara Thomson SVP Finance Chief Financial Officer Safiya Mungal 416 369 9212 HSBC Investments Canada Limited 19 09 2007 28 08 2007 Jamie Midgley Chief Operating Officer portfolioadm hsbc ca Hydro Québec as trustee of la Caisse de retraite d Hydro Québec 31 10 2007 20 09 2007 Daniel Garant Executive Vice President Finance and Chief Financial Officer Independent Accountants Investment Counsel Inc 29 11 2013 Undated Joel Baker Chief Compliance Officer Luke MacLennan 519 291 2817 Index Wealth Management 09 08 2010 09 08 2010 Reconfirmed 13 09 2013 Alan Fustey President Alan Fustey 204 989 6217 Industrial Alliance Insurance and Financial Services Inc 02 10 2007 25 09 2007 Yvon Côté Chairman of the Board and Chief Executive Officer Edith Roy 418 604 5000 ext 5012 Fds TMS inalco com Industrial Alliance Investment Management Inc 02 10 2007 25 09 2007 Yvon Côté Chairman of the Board and Chief Executive Officer Edith Roy 418 604 5000 ext 5012 Fds TMS inalco com Inhance Investment Management Inc 01 10 2007 28 09 2007 Lynn Shook SVP Operations Human Resources Lynn Shook 604 975 3303 Intact Investment Management Inc 10 03 2010 Undated Reconfirmed 31 07 2013 Marc Provost Senior Vice President Managing Director and Chief Investment Officer Kenny Tang 514 350 8541 IPSOL Capital Inc 05 01 2015 27 12 2014 Jacques Lussier President Chief Investment Officer Guy Desrochers 514 842 2225 Jarislowsky Fraser Limited 12 11 2007 Undated Reconfirmed 13 09 2013 Stephen A Jarislowsky Chairman CEO Lucy Chan 514 842 2727 Jory Capital Inc 19 09 2007 07 09 2007 Patrick M Cooney Chairman CEO President Donna Kostiuk 204 925 5219 Lawrence Asset Management Inc 04 07 2008 Undated Grant McCutcheon V P Secretary info lawrenceasset com Lighthouse Private Client Corporation 27 09 2007 Undated Jessica Thomas Chief Compliance Officer Jessica Thomas 519 963 6200 Lincluden Investment Management Limited 26 11 2013 Undated C Lynn Eplett Vice President and Chief Compliance Officer Lynn Eplett 905 825 2227 Longview Asset Management Ltd 11 24 2011 11 24 2011 R B Matthews Chief Compliance Officer Frank Zhang 416 947 1144 Mackenzie Investments 07 07 2014 02 07 2014 Allan Warren SVP Fund Services Joe Holjevac 416 967 2026 Macquarie Capital Markets Canada Ltd 11 12 2007 10 12 2007 Reconfirmed 18 09 2013 Chris Salapoutis Chief Operating Officer James Mikelson 416 848 3582 Manulife Asset Management Accord 2015 Inc 22 04 2015 22 04 2015 Michael Evans Chief Operating Officer Susie Bedakelian Rafael 514 499 2734 Matrix Funds Management 23 11 2013 Undated David Balsdon Chief Compliance Officer Secretary Treasurer Raluca Sarbu 416 365 4079 Mawer Investment Management Ltd 19 09 2007 07 09 2007 Donna J Mack Chief Compliance Officer Donna J Mack 403 770 1270 MFC Global Investment Management Canada A Division of Elliott Page Limited 29 09 2007 26 09 2007 Kevin Adolphe President Hasan Khan 416 926 5914 Mirador Corp 20 11 2012 Undated Stan Clarke President Stan Clarke 403 718 0125 Montrusco Bolton Investments Inc 24 09 2013 24 09 2013 Benoît Bourdages VP Operations Benoît Bourdages Morgan Meighen Associates Limited 30 11 2013 29 11 2013 Vanessa L Morgan President Chris Esson 416 366 2931 ext 227 Mulvihill Capital Management Inc 29 09 2007 Undated John P Mulvihill President CEO Supriya Kapoor

    Original URL path: http://iiac.ca/member-support/institutional-trade-matching/institutional-trade-matching-statement-posting-facility/investment-manager-trade-matching-statements/ (2016-02-14)
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  • Custodian Trade-Matching Statements | IIAC
    Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search Custodian Trade Matching Statements Custodian Trade Matching Statements Firm Posted Statement Date Signed by Contact BMO Trust Company 13 09 2007 10 09 2007 Jean Blacklock Chief Operating Officer and Vice President Ronald Tooley 416 359 7161 Canadian Western Bank 21 12 2007 Undated Larry M Pollock President Chief Executive Officer Canadian Western Trust Company 21 12 2007 Undated Larry M Pollock President Chief Executive Officer CIBC Mellon 05 07 2007 05 03 2007 Robert M Shier Senior Vice President and Chief Operations Officer Contact CIBC Mellon 416 643 5000 Citibank Canada 29 09 2007 24 09 2007 Robert Smuk Business Head Global Transaction Services Mariles Delfin Computershare Trust Company of Canada 29 10 2007 Undated Stuart Swartz Vice President Corporate Trust email Credential Securities Inc 21 02 2012 19 02 2013 Ernie Nichiporik SVP Operation and Service Ryan Roe 604 714 3963 Desjardins Trust 29 09 2007 19 09 2007 François Gagnon Executive Vice President Contact your account representative at Desjardins Trust Natcan Trust Company 29 09 2007 24 09 2007 Pierre Paul Cournoyer Vice President Operations Sylvia Gad 514 868 5457 National BankTrust 29 09 2007 24 09 2007 Pierre Paul Cournoyer Vice President Operations Sylvia Gad 514 868 5457 NBCN Inc 16 08 2007 28 06 2007 Yvan Naud President CEO Sylvia Gad 514 868 5457 National Bank Direct Brokerage Inc 13 09 2007 Undated Nicolas Milette President Sylvia Gad 514 868 5457 RBC Investor Services Trust 13 12 2013 09 2013 John Lockbaum Chief Executive Officer RBC I TS Compliance State Street Trust Company Canada 12 10 2007 Undated Ron Robertson Senior Vice President email The Bank of Nova Scotia 13 12 2013 Undated Kyle McNamara Senior

    Original URL path: http://iiac.ca/member-support/institutional-trade-matching/institutional-trade-matching-statement-posting-facility/custodian-trade-matching-statements/ (2016-02-14)
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  • Inter-Dealer Broker Trade-Matching Statements | IIAC
    Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Home Member Login Contact Us Français About the IIAC Who We Are Board of Directors President CEO Subject Matter Experts IIAC Committees Working Groups IIAC Member Firms IIAC Affiliates Industry Job Board Advocacy Submissions Letters Letter from the President Key Issues Successes Activity Updates Member Support Cybersecurity Resource Centre CRM2 Resource Centre Industry Data Publications Public Advisories Institutional Trade Matching Tools Member Benefits Member Kit Members Only Small Dealers Overview Ian Russell on SAID Advocacy SAID Successes Publications Industry Data Tools SAID Committee Meeting Minutes Centres of Higher Learning Media Coverage SAID Events Investors Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search Inter Dealer Broker Trade Matching Statements Inter Dealer Broker Trade Matching Statements Firm Posted Statement Date Signed by Contact Freedom International Brokerage Company 05 10 2007 04 10 2007 Michael Woolnaugh SVP Finance Administration Prebon Canada Limited 28 09 2007 26 09 2007 Chris Woolcock Chief Operating Officer Chris Woolcock Shorcan Brokers Limited 14 09 2011 06 09 2011 Peter Conroy President Peter Conroy 416 360 2508 Back to Institutional Trade Matching Statement Posting Facility Tweet Follow us IIAC Letter to Montreal Exchange Seeks Amendment to Special Terms Transaction Reporting February 12 2016 IIAC Comment Letter on Revised Capital Markets Act and Draft Regulations for CCMRS December 21 2015 IIAC Response to ASC Nunavut Start Up Prospectus Exemption December 9 2015 IIAC

    Original URL path: http://iiac.ca/member-support/institutional-trade-matching/institutional-trade-matching-statement-posting-facility/inter-dealer-broker-trade-matching-statements/ (2016-02-14)
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  • End-of-Quarter USD to CDN Conversion Rate for Exception Reporting Purposes | IIAC
    You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search End of Quarter USD to CDN Conversion Rate for Exception Reporting Purposes End of Quarter USD to CDN Conversion Rate for Exception Reporting Purposes To report exceptions to NI 24 101 matching targets it was agreed that all U S dollar USD trades in CDS s quarterly report to the securities regulator on participant matching rates would be converted into Canadian dollars using a single fixed exchange rate As matching ratios could be affected by the use of different rates and or exchange rate fluctuations having all registrants using a common rate ensures comparability and simplifies analytical or research work For quarterly regulatory reporting purposes CDS uses the Bank of Canada calendar quarter end closing spot rate to convert the total USD trade value into Canadian dollars For reporting to CDS participants on a daily and or monthly basis CDS uses the Bank of Canada USD CDN end of day spot rate for the first business day of the current month For the quarter ending The USD to CDN exchange rate to use is December 31 2015 1 389099954 September 30 2015 1 340700033 June 30 2015 1 248450049 March 31 2015 1 266499961 December 31 2014 1 158249953 September 30 2014 1 117550062 June 30 2014 1 065150006 March 31 2014 1 103749957 December 31 2013 1 062499966 September 30 2013 1 02789998 June 30 2013 1 054950025 March 31 2013 1 015950008 December 31 2012 0 99569997 September 30 2012 0 983950004 June 30 2012 1 019449984 March 31 2012 0 999450002

    Original URL path: http://iiac.ca/member-support/institutional-trade-matching/industrial-trade-matching-toolkit/end-of-quarter-usd-to-cdn-conversion-rate-for-exception-reporting-purposes/ (2016-02-14)
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  • Ian Russell on BNN – Saving the TSX Venture Exchange (IIAC Blog) | IIAC
    News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Home Member Login Contact Us About the IIAC Who We Are Board of Directors President CEO Subject Matter Experts IIAC Committees Working Groups IIAC Member Firms IIAC Affiliates Industry Job Board Advocacy Submissions Letters Letter from the President Key Issues Successes Activity Updates Member Support Cybersecurity Resource Centre CRM2 Resource Centre Industry Data Publications Public Advisories Institutional Trade Matching Tools Member Benefits Member Kit Members Only Small Dealers Overview Ian Russell on SAID Advocacy SAID Successes Publications Industry Data Tools SAID Committee Meeting Minutes Centres of Higher Learning Media Coverage SAID Events Investors Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search IIAC Blog January 15 2016 Ian Russell on BNN Saving the TSX Venture Exchange IIAC Blog Tweet Tagged BNN Ian Russell Industry commentary TSXV Video Pulling Out the Stops to Rescue the TSX Venture Exchange IIAC Blog IIAC Establishes Operations and Technology Committees IIAC Blog Tag Cloud Ian Russell Industry info Events CRM2 Letter from the President Barb Amsden Video Susan Copland CCMR Michelle Alexander Industry news Cybersecurity CCMRS Securities regulation This Week in Financial History Submissions Andrea

    Original URL path: http://iiac.ca/ian-russell-on-bnn-saving-the-tsx-venture-exchange-iiac-blog/ (2016-02-14)
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