Ward McMahon
Senior VP Regulatory Affairs
1-604-643-7447 |
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Bruce Maranda
Executive VP, Chief Compliance Officer
1-604-643-7075 |
- Overall responsibility for Compliance Department function
- Approval of Discretionary and Managed Accounts
- Regulatory liaison
- Privacy
- Branch review
- Company policies
- Client complaints
- Investigations
- Legal actions
- Continuing Education (Canada)
- Document Department
- International Compliance including U.K., U.S.
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Keith Titterton
VP Compliance
1-604-643-7533 |
- Trade oversight
- Trade Desk Compliance
- Credit support
- Supervision of Managed accounts (B.C. region)
- Employee trading, including accounts held with other member firms
- Monthly reviews
- Securities support
- CDN Institutional compliance
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Martin Stead
VP Compliance
1-604-643-7695 |
- Client complaints
- Third Party Review
- Off-site document storage
- Money Laundering
- Option - new account approval and trading
- Money Laundering (Canada)
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Sheryl Hunter
Senior Compliance Officer
1-604-643-7016 |
- New Account Approval (Canada Only)
- Offshore Accounts
- ID Verification
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Kevin Tam
Senior Compliance Officer
1-604-643-7037 |
- New Account Approval (Canada Only)
- Communications approval including Electronic
- Advertising and Marketing (Canada Only)
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Mark Van Koll
Compliance Officer
1-604-643-7050 |
- Money Laundering (U.S. Only)
- Continuing Education (U.S. Only)
- New Account Approval (U.S. Only)
- Advertising and Marketing (U.S. Only)
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Niels Molbak
Compliance Officer
1-403-508-3861 |
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Jim Miller
VP Compliance
1-416-867-6017 |
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Kuno Tucker
VP Compliance
1-416-869-7222 |
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Kevin Ratcliff
VP Compliance
1-514-844-3427 |
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