IRI Managment

Independent Review Inc.'s team is a dedicated group of professional individuals with extensive knowledge in the mutual fund and regulatory market industries.
 


W. William Woods

LL.B, President & CEO

W. William Woods LL.B, is a lawyer, admitted to practice in Bermuda, England, Wales and Hong Kong. He was a solicitor with Linklaters & Paines in Hong Kong where he specialized in corporate finance work.

For three years he acted as Legal Counsel to the Stock Exchange of Hong Kong. He then co-founded the International Securities Consultancy, a consulting group based in Hong Kong and London that specializes in advising on the development of both emerging and mature securities markets. From August 1995 to December 2001 he was the CEO of the Bermuda Stock Exchange. During that time he established a special listing regime for offshore funds and attracted more than 200 funds to list on the BSX.

Since January 2002, Mr. Woods has been an independent financial services consultant. His assignments include advising the Hong Kong Stock Exchange on a new code of best practice regarding the Corporate Governance of listed companies; serving for twelve months as the Entrepreneur-in-Residence at an e-commerce venture capital fund in Bermuda; and advising a specialist, offshore hedge fund administrator. He is currently the Chairman and CEO of WWWoods & Co. Limited based in Toronto, Canada.

Mr. Woods serves as an independent director on the boards of a number of hedge funds with assets under management ranging from $10 million to over $3 billion.

Education:

LL.B, 1982, University of Manchester, England. Admitted to the Law Society in England and Wales in 1985. Admitted to the Law Society in Hong Kong in 1987. Admitted to the Bar in Bermuda in 1997. Associate member of the Canadian Bar Association.


Geoff Salmon

Corporate Secretary

Geoff Salmon is the Managing Director for IRI.  He has been with IRI since 2008 and is responsible for providing IRI’s secretariat services to over 20 Independent Review Committees which includes advising the Committees and the Managers of the fund groups on conflict of interest matters under NI 81-107.  These fund groups range in size from a few funds to large fund groups like, Sprott, O’Leary and NEI Funds.  

He has reviewed and provided advice on a vast array of conflict of interest matters referred to the IRCs over the past 7 years and has developed a comprehensive set of precedents for the IRCs and fund managers since he has been with IRI.

Prior to IRI Geoff Salmon’s corporate finance experience spans over13 years.  He spent 6 years at a seed capital fund, Innovation Ontario, investing in early stage businesses and 7 years in corporate finance with several smaller investment banks. 

Geoff holds a LLB from Western Law, 1978.

Monique Hutchins

Business Development & Marketing

Monique Hutchins leads business development and marketing for IRI.  She joined IRI in 2010 and is responsible for building and maintaining new and existing client relationships, developing and coordinating continuing education programs for IRCs and providing support to over 20 independent review committees, boards of directors and their related sub-committees.

Prior to joining IRI, her professional experience spanned over 12 years mainly in the financial services industry fostering long-term strategic client relationships and advising on key corporate governance matters in past roles with Kingsdale Shareholder Services, one of the leading proxy solicitation firms, managing their clients and with Institutional Shareholder Services, a top proxy advisory firm, leading the Canadian account management team.

Monique is bilingual (French) and she attended Concordia University, John Molson School of Business where she obtained a Bachelor of Commerce degree, and McGill University where she obtained a Certificate in Business Management.  She also currently volunteers on a board, is the board secretary and is the chair of the health & safety committee for a non-for-profit organization.


 

IRI Roster Of Members

The principals and associates of Independent Review Inc.'s roster of IRC members are all seasoned mutual fund industry executives, securities lawyers, securities regulators and/or chartered accountants, each with many years’ experience (both in Canada and internationally).
 


Lawrence A. Ward

FCPA, FCA, Director - Independent Review Inc.

Lawrence A. Ward, FCPA, FCA is a chartered professional accountant and a retired partner of PricewaterhouseCoopers LLP. He now acts as an independent financial consultant.

During his career with PwC, he served in the Toronto, London, Ontario and San Francisco offices. While in the audit practice, he worked extensively with many mutual funds and investment companies. More recently, he worked in the financial advisory practice, specializing in insolvencies and restructurings with significant responsibilities for risk management, independence and business conflict issues, particularly related to Sarbanes-Oxley, the SEC and the independence rules of the Canadian Institute of Chartered Professional Accountants.

Since his retirement, Mr. Ward has acted as a business and financial consultant, specializing in risk management, corporate governance and mutual fund independence matters.

He serves on the independent review committees of a number of mutual fund organizations, including serving as chair of several of them.

Education:

B. Com, 1964, University of Toronto; chartered accountant, 1967, FCA, 2000.

W. William Woods

LL.B, President & CEO

W. William Woods LL.B, is a lawyer, admitted to practice in Bermuda, England, Wales and Hong Kong. He was a solicitor with Linklaters & Paines in Hong Kong where he specialized in corporate finance work.

For three years he acted as Legal Counsel to the Stock Exchange of Hong Kong. He then co-founded the International Securities Consultancy, a consulting group based in Hong Kong and London that specializes in advising on the development of both emerging and mature securities markets. From August 1995 to December 2001 he was the CEO of the Bermuda Stock Exchange. During that time he established a special listing regime for offshore funds and attracted more than 200 funds to list on the BSX.

Since January 2002, Mr. Woods has been an independent financial services consultant. His assignments include advising the Hong Kong Stock Exchange on a new code of best practice regarding the Corporate Governance of listed companies; serving for twelve months as the Entrepreneur-in-Residence at an e-commerce venture capital fund in Bermuda; and advising a specialist, offshore hedge fund administrator. He is currently the Chairman and CEO of WWWoods & Co. Limited based in Toronto, Canada.

Mr. Woods serves as an independent director on the boards of a number of hedge funds with assets under management ranging from $10 million to over $3 billion.

Education:

LL.B, 1982, University of Manchester, England. Admitted to the Law Society in England and Wales in 1985. Admitted to the Law Society in Hong Kong in 1987. Admitted to the Bar in Bermuda in 1997. Associate member of the Canadian Bar Association.


Eamonn McConnell

Director - Independent Review Inc.

Eamonn McConnell is currently a partner of Gryphus Capital (www.gryphuscapital.com), a Private Equity firm he co-founded in Singapore in 2002

For over 25 years, Eamonn McConnell has been involved in the investment banking and global fund management business. Eamonn has worked in Canada, the UK and Asia during his career. He has worked for many large international institutions including Barclays Global Investors, Deutsche Bank and Merrill Lynch. In the late 1990s through 2002, he was an MD at Deutsche Bank responsible for the pricing, underwriting and risk management of Deutsche Bank’s debt new issue business (Asia and Europe). His areas of activity have ranged from capital markets work in both debt and equity products, the establishment of a mutual fund investment management company and the subsequent launch of several funds, to the establishment of a private equity fund management company. Eamonn has been an active investor in all types of assets and the management of risk products. In addition to his Directorship with Independent Review Inc, Eamonn has also recently joined the Investment Committee of Kensington Capital Partners Ltd. (www.kcpl.ca) and is a Portfolio Manager of Kensington Capital Advisors Inc. in Toronto.

Education:

BA, 1980, American University, Paris, France; MBA, 1984, McGill University, International Finance; Diplome, 1984, Ecoles des Hautes Etudes Commerciales, France, International Management Program. SFA Certification and Canadian Securities Certification. Chartered Alternative Investment Analyst Association (CAIA) designation. Recognized globally, the CAIA designation certifies one’s mastery of the concepts, tools and practices essential for understanding alternative investments and promotes adherence to high standards of professional conduct.

Michèle D. McCarthy

LLB/LLM

Michèle D. McCarthy LLB/LLM, is a lawyer with significant experience in leading and implementing strategic acquisitions in the financial services industry and managing change within organizations.

Since October 2003, she has been running her own law practice, McCarthyLaw, which provides a Virtual General Counsel service to medium sized hedge funds, mutual funds, reporting issuers and Schedule II and III banks. Michele began her career as a litigation lawyer and then partner with Fraser & Beatty, the predecessor firm to Denton’s.  In 1997 to 2002, she was the Chief Legal Officer, Director & Corporate Secretary for Deutsche Bank Canada and Deutsche Bank Securities and created Deutsche Bank AG, Canada Branch and integrated Bankers Trust.  In 2002 and 2003, she completed the Corporate Reorganization of UBS Bank (Canada) and was responsible for establishing UBS AG Canada Branch. From 2007 to 2011, she was the Chief Legal Officer and head of compliance for GMAC Residential Funding of Canada, ResMor Trust and Ally.  More recently, she has led projects for Cidel Bank & Trust and Jameson Bank in the bank regulatory area.  Michèle has expertise in Canadian and U.S. regulatory, compliance and corporate governance matters and is fluent in English and French.

Michèle was the Chair of the Toronto Port Authority and a member of the Small Business Advisory Committee of the Ontario Securities Commission.  She is a director on the board of Lago Dourado Minerals (TSX-V) and served as a director of Brain Hunter (TSX).  Michele sits on the Independent Review Committees for Educator’s Financial, Northwest & Ethical, Picton Mahoney, Timbercreek Asset Management and Integra Capital.   From 1997 to 2005, she was a Trustee of Trinity College (University of Toronto).   She is the President of Toronto’s oldest charity, the St. Georges Society of Toronto, and a director of the Canada’s National Ballet School (Chair of the H.R. Committee) and the Rekai Foundation.  She is also a member of the Institute of Corporate Directors.

Education:

University of Toronto’s Rotman School/Institute of Corporate Directors-  Certified as ICD.D 2004.  LLB (1984) and LLM (2009) in Securities Law  - Osgoode Hall.  Admission to the Ontario Bar 1986. MA (Political Science) - University of Windsor 1981. B.A. (Honours) - University of Toronto (Trinity College) 1979.

Don McCreesh

C.Dir

Don McCreesh, C.Dir, is an experienced board director with 30 years of experience as a Board Chair, Lead Director, Committee Chair and Director of a number of corporate, not for profit and charitable organizations.

Don is currently Chair of Brainhunter Inc. (TSX:BH). He is also the incoming Board Chair and Chair of the HR Committee of Educators Financial Inc. (previously known as Ontario Teachers Group), an organization providing mutual funds and financial services to the education sector and is a member of the Advisory Board of VenGrowth Asset Management. Until its sale to a private entity in November, 2007, Don served as Lead Director, Special Committee member, and Chair of both the Corporate Governance and HR/Compensation Committees of RAND A Technology Corporation (TSX:RND. His career as a director is built on 11 years as the global head and corporate officer responsible for Human Resources at Celestica, CIBC and Nortel Networks. )

Don has been an active leader in voluntary sector governance for over three decades having served as a leader on the boards of 13 different not for profit organizations. He currently serves as Board Chair and Chair of the HR and Governance Committee of Imagine Canada (formerly the Canadian Centre for Philanthropy), where he is leading an initiative to bring governance, fundraising, accountability and management standards to Canada’s charitable sector.

Education:

Don has an MBA and BA, Psychology from McMaster University in Hamilton, Ontario and is a graduate (C.Dir.) of the Directors College where he is now as a faculty member and director in residence. He was awarded the Directors College “Gilbert Bennett Gold Standard Award” as the outstanding graduate of 2005 and is a member of the Institute of Corporate Directors.

Karen Fisher

C.Dir

Karen Fisher has over 30 years of financial services and investment industry experience with a broad background in investment management leadership roles.

Her experience in developing and overseeing product lines (RRSPs, mutual funds, managed asset programs) and improving operational and financial performance has led to progressively senior roles throughout her career; ending her full-time career schedule as President and CEO of Scotia Securities (Manager and Dealer). Ms. Fisher has been involved with several company mergers, new product design, development, launches and significant systems development and conversion initiatives throughout her tenure in the financial services and investment industry.

With an increased focus on professional board and committee work, Ms. Fisher currently acts as Chair for three mutual fund Independent Review Committees, and is a member of one other. She also sits on the Board of a public utility and is also member of the Audit and Risk Committee.

Passionate about community involvement, she is currently the Chair and a Board Member for the Clarington East Food Bank (CEFB), and has been a Member of the Investment Committee for the Anglican Diocese of Toronto Consolidated Trust.

Karen successfully completed the Director’s College program through McMaster University and The Conference Board of Canada and gained her Chartered Director’s designation in June 2016. On a personal note, she is married and has a daughter.

Rod McIsaac

MBA, ICD.D

Rod McIsaac joined HSBC in 2000 before becoming Chairman and Chief Executive Officer at HSBC Securities (Canada) Inc. in 2010.

Rod has deep industry experience in the power generation, pipeline and resource sectors. He has served on the executive committee and board of HSBC Securities (Canada) Inc. since 2004 and was made Chairman in 2010. As CEO, he implemented a strategic plan for the Investment Dealer, separating the retail and wholesale businesses. Rod transformed HSBC’s investment dealer from a non-profitable position to an entirely successful business.

As Co-Head, HSBC Global Banking Canada (2010 - 2011), Rod assimilated corporate banking with investment banking to create a universal wholesale bank model, consistent with HSBC’s global structure. He improved Bank profitability through the creation of business efficiencies.

Rod was the Executive Vice President & Managing Director, Head of Investment Banking at HSBC Canada (2004 - 2010) with a focus on mergers & and acquisitions advisory and capital market transactions for Canadian issuers. There he rebuilt the investment banking group from 2004 into an efficient, diverse, engaged and globally integrated 20 person team, achieving record results. Rod held increasingly senior positions at JP Morgan, SBC Warburg and Scotia Capital Markets in locations throughout North America before joining HSBC in 2000.

Education & Professional Development:

Institute of Corporate Directors, Institute-certified Director, ICD.D (January, 2012) ICD, Directors Education Program, (December, 2011) Partners, Directors and Officers Exam (CSI) / IIROC Registered, 1997; MBA, Schulich School of Business; Honours BA, Economics, University of Western Ontario.

Donald B. Hathaway

FCMC, ICD.D, Corporate Governance Expert

Donald B. Hathaway, FCMC, ICD.D, is a professional corporate director specializing in governance, strategy and organizational effectiveness to deliver value.

He has a strong interest in emerging technologies and the commercialization of intellectual property. His forty-year career has spanned manufacturing, business and academia, with over half spent at senior executive levels, accumulating expertise in strategy, marketing, finance, general management and corporate governance, plus executive contacts across North America and in Europe, India and Hong Kong.

He is an experienced director with multiple board, committee and board chair roles that put him at ease on public and private sector and NFP boards. He is currently a member of the Independent Review Committee for a mutual fund and serves either as a director or advisor of five businesses and a national not-for-profit organization. He is the Vice Chair, Small Business, of the Ontario Chapter of the Institute of Corporate Directors. He has strong skills in board operations, the board-management interface and board committee work, particularly audit, governance and compensation.

He wrote, “Chairs and Tables: Corporate Governance for Directors of Small and Medium Businesses”, published in June 2008 and his book on the human element in governance will be published by Thomson Reuters in late 2009.

During his career he has served on approximately 30 boards, including private and public businesses, charities, and not-for-profit and political organizations at the municipal, provincial and national levels. He is a Past President and a Fellow of the Institute of Management Consultants of Ontario, a Past President of the Institute of Management Consultants of Canada, a former Governor of York University, a former Chairman of the University of Waterloo Advisory Council, a former member of the Canadian Employment and Immigration Advisory Council advising the Minister and a former member of the Advisory Council to the Masters in Business, Entrepreneurship and Technology (MBET) at the University of Waterloo. He is a member of the Institute of Corporate Directors and holds its ICD.D designation. He has a B.Eng. (electrical) from Sir George Williams University (now Concordia), a B.Sc. in mathematics from the same university, an MBA from York University and the executive program in economic value analysis (EVA) from the Kellogg School at Northwestern University.

Sue Fawcett

CFA, ICD.D

Sue Fawcett, CFA, ICD.D, is a professional corporate director with 25 years experience in the Financial Services Industry in Canada and Asia.

As a CFA charter holder, she is considered a financial expert and is held to the CFA Code of Ethics. Previously a Vice-President and Advisor with CIBC Wood Gundy, she has an in-depth understanding of the Mutual Fund industry. Sue is also a private investor in one of Canada's most successful Hedge Funds.

Ms. Fawcett is currently on the Board of the Business Development Bank of Canada (BDC) and on the Board of the Alberta Economic Development Authority. While working in Ottawa, Sue served on the Boards of The Ottawa-Carlton Economic Development Corporation, The Riverside Hospital Foundation and The Ottawa Ballet.

Audrey Robinson

MBA

Audrey has been working in the Canadian investment industry for over 25 years since graduating with an MBA from the Telfer School of Management at the University of Ottawa. She had a two year sojourn working as a political assistant to a federal cabinet minister in keeping with her undergraduate degree in political science from Western University.

In her 25 year career, Audrey has developed unparalleled experience in investment manager due diligence and monitoring, and in building comprehensive multi-manager investment platforms geared to the unique needs of private clients. Most recently, Audrey was Chief Investment Officer for WaterStreet Family Offices (a division of Scotiabank) where she not only built a leading investment platform heavily focused on alternative investment strategies but also implemented a unique risk-based approach to portfolio construction.

Audrey’s experience also includes working closely with families and individuals of means focussing on the development and implementation of customized investment manager strategies, portfolios and investment policies focused on protecting capital.

Audrey has also been an active volunteer throughout her career with the result that she has acquired extensive Board experience. Recent appointments include the Board of Directors of ChapelGate Credit Opportunity Fund and Chair of the Sphere ETFs IRC.

Michael M. Boyd

MBA

Michael M. Boyd has spent his career in the Canadian financial services industry. Early in his career he was trained as a term lender at RoyNat.

Mr. Boyd then joined the Toronto Dominion Bank’s venture capital group, TD Capital Group, in the late 1970’s and subsequently started a venture capital group at Citibank Canada. In 1984 Mr. Boyd was a founding partner of BG Acorn Capital Fund, a $20 million pool of venture capital. Among its successful investee companies was MOSAID Technologies Incorporated and Trojan Technologies Inc.

Mr. Boyd worked for several years as an Executive Vice President with Marleau Lemire Securities Inc. doing corporate finance for Canadian small cap public companies and as head of syndication. At HSBC Capital (Canada) Inc. from 1997 to 2002 Mr. Boyd was involved with raising and investing an $85 million private equity fund and in bridge financing transactions. Mr. Boyd formed Argosy Bridge Fund L.P. I in November, 2002. The Bridge Fund was an institutionally funded (primarily by HOOPP and OTPP) $29 million limited partnership doing only bridge lending transactions. Over four years The Bridge Fund approved and lent over $50 million.

Mr. Boyd has served on the Boards of a number of public and private companies.

Education:

Mr. Boyd has a BA with Honours (Philosophy and Psychology) from Western University in 1974 and received his MBA from the Ivey School of Business in 1976, he is married and has five children and is an avid rider and breeder of Hanoverian show jumping horses.

Kevin Drynan

BA, Director

Kevin Drynan retired September 30, 2013 as President, CEO and Chairman of the Board of State Street Trust Company Canada where he was responsible for State Street’s Global Services business in Canada.

In early 2014 and in retirement, he founded W.K. Drynan and Associates Inc., a niche firm providing business advisory services to small and mid-sized firms mainly in the financial services sector. Strategy, Governance, Sales and Customer Management are the areas in which the firm advises its clients.

In addition to managing his practice, Kevin serves on the Boards of Directors for: State Street Trust Company Canada, PureFacts Financial Solutions Inc. (Chairman and independent director), Open Access Limited and Wintergreen Energy Corporation (Dallas TX).

Kevin is also a member of The Vertex One, Independent Review Committee (IRC) and he has served on numerous industry and not for profit boards including the Children’s Aid Society of Toronto where he is a past president and chairman of the board.

Marie Rounding

BA, LLB, ICD.D

Marie C. Rounding is Counsel at Gowling WLG (Canada) LLP where she is a member of the National Energy, Mining and Infrastructure Industry Group. Ms. Rounding is a member of the Independent Review Committee (IRC) for Vertex One Asset Management. In November 2014 she completed a two year term as Chair, and six years as a member prior to that, of the IRC for Sentry Investments Inc. She currently serves as a member of the board of directors of Nova Scotia Power Inc and was a director for Ontario Power Generation for ten years until April 2014.

Ms. Rounding has a recognized background in regulatory and administrative law. Previously, she held a number of senior positions including Chair of the Ontario Energy Board, President and Chief Executive Officer of the Canadian Gas Association, Director of the Crown Law Office, Civil Law at the Ontario Ministry of Attorney General, and Legal Director for the Ontario Ministry of Financial Institutions. She has been Chair of the board of directors of the Doctors Hospital, Canada's National Ballet School, the National Ballet School Foundation, the Canadian Association of Members of Public Utility Tribunals, the Society of Ontario Adjudicators and Regulators and serves as a director on a number of other not-for-profit boards.

In 2006, she graduated from the Directors Education Program and the Financial Literacy Program, both sponsored by the Institute of Corporate Directors and the Rotman School of Management Corporate Governance College. She holds an ICD.D designation

Rod Seyffert

LLB, ICD.D

Rod Seyffert of Toronto, a lawyer and corporate director, specializes in commercial real estate development and corporate law. For 40 years he practised business law at the firm now known as Gowling WLG. During his time at Gowlings, he held several management positions including Managing Partner of its largest office.

Rod Seyffert’s current board positions include directorships at Canadian Scholarship Trust (Chair 2002-2004), the largest group RESP provider with over $4 Billion in AUM, Flying J Canada Inc., an operator of truck service stations, St Hilda’s Towers’ care community and Hospice Palliative Care Ontario. His past appointments include stints as a director of Nuance Canada Group Inc. (airport duty free retail), Planet Hollywood Canada Inc., and Terminal 3, Toronto Pearson International Airport. Other community roles currently held include Honorary Counsel of the Ontario branch of the Air Cadet League of Canada and Board director of the Royal Canadian Military Institute. Rod has served on three Independent Review Committees and is a member of the Institute of Corporate Directors.

Adam Conyers

CA

Adam Conyers is a Chartered Accountant. From 1996 to 2001, Mr. Conyers served the Toronto Stock Exchange (TSE) in various roles from Chief Financial Officer to Senior Vice- President, Market Services.

In this capacity, he led a management team assessing strategic, financial and operational issues, which led to the consolidation of the Canadian equity market place.

He was also responsible for developing and implementing a number of new products and services. Additionally, Mr. Conyers helped transition the TSE to a for-profit business, including resolving significant tax issues.

Prior to joining the TSE, he held the position of Vice-President at Price Waterhouse Limited where he managed a variety of operating receiverships and restructurings across a broad cross-section of industry. He also provided strategic and tactical business advice to lenders and debtors.

He serves on the board of directors of the CNQ (Canada’s new stock exchange) and as the CFO of Gedex Inc. (a technology start-up). Mr. Conyers is also a Director of the Durham Conservation Association.

Education:

Bachelor of Commerce, (1980), University of Toronto; Attended the Wharton School of Business’Advanced Management Program (1999).

Amana Manori

BA, JD

Amana has over 14 years of experience and demonstrated excellence in the global alternative investment industry. Amana was recruited from a Canadian hedge fund firm where she began her financial career, to ultimately become the Chief Legal Officer of the Canadian arm of one of the largest global hedge fund providers. Following this role, Amana built her own legal practice specializing in alternative investment infrastructure and investment fund compliance. Amana is now the Managing Partner and Chief Legal Officer of boutique firm that specializes in the brokering of relationships between sophisticated capital and global opportunities.

Amana has a strong background in corporate governance, has completed intermediate level board governance courses and currently serves on the Independent Review Committee of a scholarship trust plan. Amana is a member of various legal associations and professional organizations that focus on the success and promotion of women in law and business. Amana has recently produced editorial content for various publications including the Canadian Alternative Investment Forum, Golden Girl Finance and Family Office Elite Magazine.

Warren Law

LL.B., LL.M. (Tax)

Warren Law, LL.B., LL.M. (Tax), has broad experience in oversight and regulatory roles in the financial services sector, including investment funds.

Education:

LL.B. and an LL.M. (Tax), Osgoode Hall Law School. Member of the Bar of Ontario. Completed the Directors Education Program at the Institute of Corporate Directors, Rotman School of Business. 2005. He also attended the Commerce and Finance (B. Comm.) Program at the University of Toronto.

Ann Harris

FCCA (UK)

Ann Harris FCCA (UK) is a securities compliance professional, international auditor and former regulator.

She is an expert in conflict of interest matters, having established an Independent Review Committee for Manulife Mutual Funds prior to the enforcement of NI 81-107, and served as the initial IRC member of Hartford Mutual Funds in 2007. Ann has worked in Barbados, Canada, London UK, and Singapore.

During Ann’s career as a regulator with IIROC, she was involved in all aspects of the investment fund industry. Specific projects included the automation of mutual fund processing, the formation of FundSERV Inc. and MFDA, and resolutions in regulatory issues facing the fund industry. Ann was responsible for the development of interpretation bulletins on regulatory issues, most notably, “Mutual Fund Transactions” - Compliance Interpretation Bulletin #C-106 dated August 28, 1996 at www.IIROC.ca.

Most recently, Ann has been an independent securities compliance consultant. Her assignments included advising on regulatory requirements and/or audits, policies and procedures, AML, privacy, complaint and risk management, outsourcing, conflicts of interest, governance, as well as serving as the designated chief compliance officer with securities commissions for investment companies, including start-ups.

Education:

Ann is a Fellow of the Association of Chartered Certified Accountants UK. Her professional qualifications include Financial Industry Regulatory Authority (FINRA) Financial and Operations Principal (Series 27), and completion with distinction in Canadian Securities Institute (CSI) courses - Canadian Securities Course, Conduct and Practices Handbook, Options and Futures Courses, Partners, Directors and Senior Officers Course, Chief Financial Officers and Chief Compliance Officers Qualifying Examinations.

William J. (Bill) McNeill

BA, LL.B., LL.M

William J. (Bill) McNeill, BA, LL.B., LL.M is a business counsel with experience as a member of a wealth management business team, as a general counsel and as a law firm partner.

He is a team player who takes a leadership role in providing value through knowledge of the financial services regulatory environment and a common sense and proactive approach to regulatory compliance, governance and risk management.

Get Free Resources
or call +1 416-849-1928

Contact

Independent Review Inc.
175 Bloor Street East
Suite 1316, North Tower
Toronto, ON M4W 3R8
Canada
  • +1 416-849-1928
  • +1 416-913-1315

Connect & Share