Contact	Responsibility
Ward McMahon Senior VP Regulatory Affairs(604) 643-7447	Ethics Officer
Bruce Maranda Executive VP, Chief Compliance Officer (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.
Keith Titterton VP Compliance (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
Martin Stead VP Compliance (604) 643-7695	Client complaints Third Party Review Off-site document storage Money Laundering Option - new account approval and trading Money Laundering (Canada)
Sheryl Hunter Senior Compliance Officer (604) 643-7016	New Account Approval (Canada Only)  Offshore Accounts  ID Verification
Kevin Tam Senior Compliance Officer (604) 643-7037	New Account Approval (Canada Only) Communications approval including Electronic Advertising and Marketing (Canada Only)
Mark Van Koll Compliance Officer (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)
Niels Molbak Compliance Officer (403) 508-3861	Alberta
Jim Miller VP Compliance (416) 867-6017	Ontario - Retail
Kuno Tucker VP Compliance (416) 869-7222	Ontario - Institutional
Kevin Ratcliff VP Compliance (514) 844-3427	Québec