Alana Dubinski is Vice President, Compliance and Chief Compliance Officer at CI Private Counsel LP, which operates as divisions of Stonegate Private Counsel and United Financial.

A seasoned professional with over 15 years of experience in the financial services industry, Alana has a wealth of experience in managing the operational and regulatory responsibilities of a Portfolio Manager offering multi-manager and multi-style disciplines within discretionary managed account delivery channels.

Prior to joining Stonegate, Alana held various compliance and trading roles at major Canadian banks and independent investment management firms in Toronto and Vancouver where she focused on integrating sound risk management practices into driving business results.

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BA (Hons) (Queen's) 1989, BA (Hons Jurisprudence) (Oxon) 1991, LLB (Dalhousie) 1992, LLM (Toronto) 1996, joined the University of Toronto Faculty of Law from Queen's University in 2006. She is currently an Associate Professor at the Faculty of Law at Toronto and served as Associate Dean (JD Program) at the Faculty from 2007-2009. She is the Academic Director of the Faculty of Law's Centre for the Legal Profession. She is also cross-appointed to the University of Toronto's School of Public Policy and Governance. During the 2009-2010 academic year, Professor Anand was a Visiting Scholar at the Bank of Canada in Ottawa and a Herbert Smith Visitor at the University of Cambridge.

In 2006, she was a Canada-U.S. Fulbright Scholar and Visiting Olin Scholar in Law and Economics at Yale Law School. During the Fall 2005, she was a Visiting Lecturer in Law at Yale Law School where she taught comparative corporate governance. She is the recipient of research grants from the Social Sciences and Humanities Research Council of Canada (three awards), the Foundation for Legal Research (three awards), the Connaught Foundation as well as the Canadian Association of Law Teachers' Scholarly Paper Award (2003). In Fall 2004, she received the Queen's Law Students' Society Award for Excellence in Teaching and in Fall 2006, she and co-authors Frank Milne and Lynnette Purda were awarded the Best Paper in Managerial Finance by the International Journal of Managerial Finance for their empirical research relating to corporate governance.

Professor Anand has conducted research for the Five Year Review Committee, the Wise Person's Committee, and the Task Force to Modernize Securities Legislation in Canada. She is the inaugural Chair of the Ontario Securities Commission's Investor Advisory Panel, the Editor of Canadian Law eJournal, published by the Legal Scholarship Network, and the past president of the Canadian Law and Economics Association. Her main research areas relate to the regulation of capital markets and include a focus on corporate and securities law as well as prudential regulation.

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Barb is an associate partner in the asset management audit practice. Barb began her career in the financial services audit practice, where spent several years providing audit services to a wide range of financial institutions and public companies. Barb transferred to Sydney Australia, where she spent over three years providing auditing and regulatory advisory services to financial institutions. On returning to Toronto, Barb joined the regulatory advisory practice where she provided consulting services on regulatory matters to major banks, broker dealers, fund managers and public companies. Barb transferred back into the asset management audit practice in 2008 and was appointed associate partner on July 1, 2011.

Barb currently focuses on audits in the asset management industry, financial services regulation, policy and procedure development, compliance framework reviews as assessments and internal controls. Barb is also a member of our pension centre of excellence, providing auditing and other services to our pension clients.

Barb has over thirteen years experience in auditing a wide range of funds , banks and public companies and over nine years experience in consulting on regulatory matters for financial institutions and other public company clients in Canada and overseas, including fund managers, major banks and broker-dealers. She also has experience in managing large projects and in auditing a wide range of public companies, and is familiar with the US regulatory environment.

Barb has contributed to or led assignments involving various regulators, including the SEC, OSC, OSFI, IIROC and MFDA in Canada, as well as various overseas regulators.

Barb graduated from the University of Western Ontario with an Honours Degree in Economics and Math and obtained her CA designation in 1993.

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Charles has been at IFIC since 2008 and has gained significant experience in distribution issues, point of sale, and international regulatory developments. Prior to joining IFIC, he worked as legal counsel at an investment dealer and in private practice.

Charles has earned a Masters of Business Administration from Schulich School of Business, a Bachelor of Laws from the University of Western Ontario, and a Bachelor of Science from the University of Toronto.

In a voluntary capacity he has served on non-profit boards and committees.

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David is the Chief Compliance Officer for ATB Investor Services located in Calgary.

ATB Investor Services is the trade name for the Wealth Management and Insurance subsidiaries of ATB Financial, a crown corporation owned by the Province of Alberta.

ATB Investors Services currently has assets under management of $6.6 Billion.

ATB Investment Management Inc. ("ATBIM") is registered with the Alberta Securities Commission as a Portfolio Manager for high net worth clients and institutions. ATBIM is also registered as an Investment Fund Manager for the Compass Portfolio Series of Mutual Funds.

ATB Securities Inc. is an IIROC registered securities dealer with approximately 150 investment advisors. David has over 20 years of past experience in various senior roles with aggressive growth financial services companies including Meridian Credit Union, Newcourt Credit Group and Commcorp Financial Services (a wholly owned asset based finance subsidiary of CIBC).

Relocating to Alberta from Ontario two years ago, David and his wife Tiina are enjoying everything Calgary has to offer including the proximity to the majestic Rockies for skiing, hiking and biking.

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David is the Chief Compliance Officer at Galliard. Prior to joining Galliard, David was the Chief Compliance Officer of FAF Advisors and First American Funds. Previously, David was Chief Compliance Officer of Franklin Advisers and Chief Compliance Counsel for Charles Schwab in San Francisco. David earned his B.A. in history from Brown University in Providence, Rhode Island, and a J.D. from the University of California, Hastings college of Law, in San Francisco. He has been admitted to practice law in both California and Minnesota. He is a past Chairman of the Board of Directors of the National Society of Compliance Professionals and is a nationally recognized speaker in compliance issues. David has more than 20 years of experience in compliance and investment law.

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David M. Sobel is Executive Vice President, General Counsel and Chief Compliance Officer of Abel/Noser Corp., a FINRA / NYSE member broker/dealer. He was previously a partner at The Goldstein Law Group, P.C. where he concentrated in the areas of broker-dealer compliance/regulation, securities litigation, including arbitration and mediation, and disciplinary/enforcement matters at the SEC, NYSE, AMEX and FINRA.

Mr. Sobel was a Floor Member of the New York Stock Exchange from 1982 through 1991 as a floor broker for both H.A. Brandt & Co. and First Options of Chicago, and President of his own NYSE member firm, Ampro Securities, Inc. After leaving the NYSE floor, he was a Senior Equity Trader / Market Maker for Trimark Securities.

Mr. Sobel has a Master of Science Degree from Brooklyn College and a Law Degree from Pace Law School where he was an Editor of the Intern'l Law Review and recipient of the Dean's Award. Since 1998 he has been a member of the FINRA Board of Arbitrators, a current member of FINRA's District 10 Committee, the Board of Directors of the National Society of Compliance Professionals (NSCP), FINRA's Small Firm Advisory Board and Chairman of the Board of the National Association of Independent Broker Dealers (NAIBD).

Mr. Sobel has been quoted in and/or interviewed by: Compliance Reporter, WSJ.com, Complinet, Trader's Magazine, Wall Street Letter, BD Week, Op/Risk and Compliance Magazine, Institutional Investor News, Dow Jones Newswire and is a frequent speaker at securities conferences for FINRA, NSCP, NRS, NAIBD, FMW and Strategy Institute. Recent Conference topics include: Enterprise Risk Management; Internal Audits; Supervisory Responsibility, Financial Responsibility, Fraud Prevention in Portfolio Management, Social Media, Foundations of Compliance, Best Practices and Forensic Compliance.

He is admitted to practice before the Supreme Courts of New York and Connecticut, the U.S. District Courts for the Southern and Eastern Districts of New York and the Second Circuit Court of Appeals. He is a member of the NY County Lawyers Ass'n, the NY State Bar Ass'n and the American Bar Ass'n.

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David Tittsworth is a native of the State of Kansas. He received his B.A. degree from the University of Kansas in 1975 and his law degree from the University of Kansas School of Law in 1978.

Mr. Tittsworth served a significant portion of his professional career in the public sector, where he held positions in all three branches of government. He began his legal career as a research attorney for the Kansas Court of Appeals in 1978. Thereafter, he held various positions in state government, including his appointment as Chief Counsel of the Department of Transportation in 1983, where he supervised a staff of attorneys and advised the Department and Governor on a wide range of issues. In 1985, David joined the bond counsel firm of Gilmore & Bell in Kansas City, where he advised state and municipal officials on various financing issues.

Upon moving to Washington, D.C. in 1987, Mr. Tittsworth first served as Associate Staff on the House Budget Committee. He accepted a position as Senior Counsel to the House Subcommittee on Transportation, Trade, and Hazardous Materials in 1989. In 1991, he left Capitol Hill to become General Counsel and a partner with a government relations firm (now Chambers, Conlon & Hartwell), where he represented the Investment Adviser Association and other clients. In 1992, he returned to Capitol Hill to serve as Counsel of the House Committee on Energy and Commerce, a position he held until joining the IAA as Executive Director and Executive Vice President in October 1996.

Mr. Tittsworth oversaw the relocation of the Association's offices from New York to Washington, D.C. early in 1997. Today he manages all of the Association's activities, including its involvement in a wide variety of legislative, regulatory, compliance, educational, and business issues that affect the investment advisory profession.

The Investment Adviser Association (formerly the Investment Counsel Association of America) was founded in 1937. The Association is a not-for-profit organization that represents the interests of the investment advisory profession and provides a wide range of advocacy, compliance, and educational services. The IAA's membership consists of more than 500 SEC-registered investment advisory firms that collectively manage in excess of $10 trillion in assets for a wide variety of individual and institutional clients.

Please see www.investmentadviser.org for more information about the IAA.

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Elizabeth King is the Manager, Portfolio Manager Team, for the Compliance and Registrant Regulation Branch of the Ontario Securities Commission. The Branch works to support the OSC's regulatory mandate to protect investors and foster fair and efficient capital markets by registering and overseeing firms and individuals that trade or advise in securities or act as investment fund managers.

Elizabeth's responsibilities include managing a multi-disciplinary team of professionals who register firms and individuals, conduct compliance oversight of registered firms and work with firms to resolve deficiencies and non-compliance. The team also develops regulatory policy and considers requests for exemption from regulatory requirements.

Elizabeth joined the OSC after working as a lawyer for 18 years, first in private practice and then in progressively senior legal roles at a major Canadian investment management firm where she advised its investment fund manager, portfolio manager, trust company, mutual fund dealer and investment dealer businesses.

A frequent speaker at conferences, Elizabeth is a graduate of Osgoode Hall Law School and Queen's University.

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Jacqlyn Stein is a Managing Director with BNY Mellon Corporation and is the Chief Compliance Officer of BNY Mellon Asset Management Canada, Ltd and I3 Advisors, Inc, both of which are Canadian subsidiaries of BNY Mellon and are registrants in the categories of Portfolio Manager, Exempt Market Dealer and Investment Fund Manager. She has been with BNY Mellon and one of its predecessors, Mellon Financial Corporation, for 22 years, with 15 of those years serving as a compliance manager with Mellon's asset management business and US broker/dealer entities. In her capacity as CCO of two Canadian entities, Jacqlyn has been responsible for the implementation of the new Canadian regulations for both affiliates including the process for review and approval of all marketing materials used with Canadian clients. In addition to regulatory matters, Jacqlyn has been responsible for many other compliance activities, including the drafting of policies and procedures and the creation of testing programs for those policies and procedures.

Previously, Jacqlyn served as the AML Sector Compliance Coordinator for all of the BNY Mellon Asset Management, orchestrating AML/KYC compliance across 14 asset management entities, including SEC Registered Investment Advisers, Hedge Funds, and Hedge Fund of Funds. In that role, Jacqlyn was responsible for the drafting of anti-money laundering policies and procedures as well as the development of risk assessment analyses to determine where there might be any gaps in oversight. Jacqlyn was also called upon to develop and present AML/KYC/OFAC continuing education programs. Prior to serving as a compliance manager, Jacqlyn served for seven years as an attorney in the Mellon Legal department, with a focus on credit issues, specifically commercial and institutional problem loans and bankruptcies. She also spent four years as a judicial law clerk in the US Bankruptcy Court for the Western District of Pennsylvania.

Jacqlyn holds a Juris Doctorate degree from Duquesne University and holds US security licenses (Series 7, 63 and 24) and well as having received her PDO in Canada.

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John H. Walsh is a Partner in Sutherland's Financial Services Group and a member of the Securities Enforcement and Litigation Team. As a 23-year veteran of the Securities and Exchange Commission (SEC), John played a key role in creating the Office of Compliance Inspections and Examinations (OCIE), which administers examinations of the nation's registered entities, including broker-dealers, investment managers, funds, self-regulatory organizations, and others.

At the OCIE, John designed and implemented the SEC's securities compliance examination practices, first as a Senior Advisor for Compliance Policy and then, most recently, as Associate Director-Chief Counsel. In 2009, at the peak of the financial crisis, he served as OCIE's Acting Director and led a massive retraining of examination staff on anti-fraud techniques, including examination and certification of hundreds of staff as Certified Fraud Examiners. Until a permanent director was appointed in January 2010, he also testified before Congress and responded to inquiries from the Inspector General, the Government Accountability Office, Congress, and the Financial Crisis Inquiry Commission.

Prior to his tenure at OCIE, John was Special Counsel to former SEC Chairman Arthur Levitt from 1993 to 1995. From 1990 to 1993, he worked in the SEC's Division of Enforcement, serving first as Senior Counsel and then as Chief of the Branch of Regional Office Assistance where he regularly appeared before the Commission's Closed Meetings to present and discuss regional office enforcement cases. He also advised the commissioners and staff on securities laws and agency policy. John began his career with the SEC in 1988 as an attorney in the Office of General Counsel.

John has held several high-ranking positions on committees and task forces during his tenure with the SEC. He served on the Executive Committee (the newly formed governing body for the SEC's National Examination Program) and was Co-Chair of the Executive Committee's Steering Committee on Compliance, Ethics, and Internal Controls. In 2010, John was a member of the Self-Assessment Leadership Team studying the reform of SEC examinations and, in 2007, led a study on Refunds, Sales Practices, and Revenues from Periodic Payment Plans. He has also been an active member of SEC task forces studying the Regulation of Public Utility Holding Companies and the Fair and Efficient Administrative Proceedings. In 2010, and again in 2011, John's team received the SEC's Law and Policy Award for its work on the Dodd-Frank Act.

John is a Certified Fraud Examiner and frequently speaks on issues such as the compliance implications of the financial crisis, dangers of identity theft, and issues to consider in an annual compliance review. He is a recognized author on securities regulation and compliance, and has published articles in Harvard International Law Journal, Columbia Business Law Review, Business Lawyer, and many others.

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Julie Cordeiro joined the Portfolio Management Association of Canada (PMAC) as Legal Counsel in September 2011. Julie advises PMAC on internal legal matters and responds to general member inquiries regarding securities law. She also works with various legal and compliance related PMAC committees and supports PMAC's advocacy activities, including comment letter submissions and membership communication on regulatory changes.

Prior to joining PMAC, Julie held the position of Legal Counsel, with the Ontario Securities Commission in the Corporate Finance Branch. She participated in a number of policy projects, including the creation of various National Instruments and staff notices and conducted corporate governance disclosure compliance reviews and prospectus reviews. Prior to 2008, Julie was an Associate with Osler, Hoskin & Harcourt LLP advising in the areas of Mergers & Acquisitions, Corporate Finance and General Corporate Law.

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Julie Mansi is a Partner in our Toronto office and was called to the Ontario Bar in 2002. Ms. Mansi was both a Summer Student and an Articling Student with Borden Ladner Gervais LLP before returning as an Associate.

Ms. Mansi has a joint LL.B./M.B.A. from Dalhousie University. Prior to her legal education, in 1996 Ms. Mansi received a Bachelor of Arts degree with a double major in Political Science and History from Queen's University. In 1997 she went on to complete her Master of Arts degree in Political Science with a concurrent Diploma in Strategic Studies at York University.

Ms. Mansi has also worked in the Canadian Embassy in Warsaw, Poland and was a market research analyst for several Canadian companies in Eastern Europe.

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Keith T. Darcy is Executive Director of the Ethics & Compliance Officer Association (ECOA). ECOA is the largest association exclusively for ethics and compliance executives with over 1,250 members across six continents.

Darcy previously served 35 years career in the financial services industry. Prior to its merger in 2002, Darcy served as Executive Vice President and a member of the Office of the President of IBJ Whitehall Bank & Trust Company, NYC. In the early-1990's Darcy helped Prudential Securities Inc. establish the first Ethics Office among Wall Street firms. For fifteen years he was a senior executive at HSBC's US operations where he headed both corporate finance and consumer banking groups. Darcy also served as CEO of an insurance company jointly owned by General Reinsurance Corporation and Frank B. Hall & Company, and served as CEO of a related derivatives trading company. From 2003-2008 Darcy served on the board of directors of E*Trade Bank and its affiliates where he chaired the Nominating and Governance Committee, and served on the Audit Committee. He also served on the board of directors of New York National Bank from 2002-2006. Since 1994 Darcy has been teaching Ethics and Leadership in the Executive Programs at The Wharton School, University of Pennsylvania. He previously served as Associate Dean and Distinguished Professor of Business at Georgetown University's McDonough School of Business.

Darcy holds a B.S. degree from Fordham University's College of Business, an M.B.A from the Hagan Graduate School of Business at Iona College, and has done additional post-graduate study at New York Theological Seminary. In 2009 he received a Doctor of Humane Letters, honoris causa, from Manhattanville College.

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Lisa Becker joined University of Toronto Asset Management Corporation (UTAM) in July 2010. Lisa is responsible for oversight of the regulatory and investment compliance programs and for UTAM's operational due diligence program with respect to investment managers and key service providers. Like many in small firms, Lisa undertakes multiple roles and has accountability for various information systems initiatives including Business Continuity and Disaster Recovery planning and for managing the internal audit function.

Prior to joining UTAM, Lisa provided compliance consulting services to large institutional investment management firms in Canadian registered portfolio managers and fund managers and to US Securities & Exchange Commission registered investment advisors. Lisa has over fourteen years of experience in regulatory compliance. Lisa obtained her Chartered Accountant designation from the Institute of Chartered Accountants in England & Wales and holds an undergraduate honors degree in Accounting from the University of Kent at Canterbury, England.

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Marsha Gerhart is counsel in our Toronto office. She joined BLG in June 2008, after 9 years as a senior regulator, primarily in the area of registrant regulation, with the Ontario Securities Commission. Prior to working at the OSC, Marsha was in private practice for many years.

Marsha graduated from Osgoode Hall Law School in 1987 and was admitted to the Ontario Bar in 1989. She also obtained a bachelor of commerce (hons) degree from Queen's University, Kingston, Ont. in 1983.

Marsha is part of the securities and capital markets group and her practice is focused primarily on securities compliance, registration and regulatory matters.

Marsha has extensive experience as a securities regulator primarily in the area of registrant regulation. During her time as a regulator, she was involved in interpreting and applying securities laws as well as participating in significant policy development at a provincial, national and international level. She lead the national registration reform project undertaken by the Canadian Securities Administration which was a project to modernize, harmonize and streamline the registration requirements across Canada. Marsha also has experience in private practice acting on corporate finance matters, including private placements, asset securitization transactions and other types of financings.

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Mary Condon was appointed a Vice-Chair of the OSC in 2011. As a Commissioner and member of the Executive Office, Ms. Condon participates in overseeing OSC activities, setting priorities and sponsoring policy initiatives. She is a professor of securities law at Osgoode Hall Law School, and has directed and taught in its part-time LLM program specializing in securities law.

She is co-author of Securities Law in Canada: Cases and Commentary (2nd ed. 2010) and Business Organizations: Principles, Policies and Practice (2007), and author of Making Disclosure: Ideas and Interests in Ontario Securities Regulation (1998). Before her appointment as Vice-Chair, Ms. Condon served as a Commissioner of the OSC for more than three years.

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Michael Nairne is President and Chief Investment Officer of Tacita Capital Inc., a family office and investment advisory firm that provides integrated wealth and portfolio management services to families of affluence.

Tacita Capital is also the manager of the Tacivest Program, a turnkey, discretionary portfolio management service that is Canada's first to reflect the "core and satellite" structure used by leading institutional investors. The Tacivest Program is exclusively available by referral through a select group of leading independent financial advisors.

Prior to co-founding Tacita, Michael was the Chief Operating Officer of Loring Ward Inc., a family office located in New York and Los Angeles. Michael was also the co-founder and Vice Chairman of Assante Corporation, Loring Ward's original parent company. During his tenure, Assante grew from $1 billion to over $20 billion in assets under administration including $8 billion in leading tax-managed asset allocation programs.

Michael writes regularly on wealth management matters including the Serious Money column in the Financial Post and has co-authored a best seller on fund management. He has spoken internationally on advanced asset allocation and other investment topics relevant to high worth families. He has also chaired the Investment Committee of a California-based turnkey asset management firm with over $4 billion in assets.

Michael holds the Chartered Financial Analyst designation and is a member of the CFA Institute and the Toronto CFA Society. He is a Registered Financial Planner, a Certified Financial Planner and graduated first in his class in Canada as a Chartered Financial Planner. Michael is also a Certified Management Consultant and was the gold medalist in his graduating year from the Honors Commerce Program at the University of Manitoba. He is a member of the Financial Planning Association, the Canadian Institute of Financial Planners and the Institute of Advanced Financial Planners.

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Michael Sorbo is the manager of examinations at the BC Securities Commission. Michael has spent 15 years at the Commission in a variety of roles leading to manager. In early days, Michael received his business degree at SFU, worked in Toronto at TD bank and Wood Gundy before coming back to BC to work at a securities firm and then switched to work at BCs main securities regulator. Michael is on the CSA Compliance Committee, has developed technical exam programs and is constantly seeking new ways to beef up compliance practices at the workplaces of BC registrants. Michael writes the annual adviser report card published on the BCSC website and has written guidance posted in work newsletters. Michael is also a Chartered Financial Analyst and a Certified General Accountant.

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Pam is an Assistant Professor and E. Marie Shantz Fellow in Accounting at Queen's University in Kingston Ontario. She received her Ph. D. from the University of Wisconsin-Madison after many years working as an auditor, controller, manager and consultant. She is a Certified Public Accountant in the State of Illinois and holds a Masters of Management in Marketing from Northwestern University.

Pam's research examines the psychological and organizational factors behind fraud and ethics. Her work is published in top academic journals such as Contemporary Accounting Research and Journal of Business Ethics as well as having been featured in the Globe and Mail and other publications. She teaches auditing, fraud prevention and Ph.D. seminars in behavioural accounting at Queen's School of Business.

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Paul Paquette is currently one of two Managing Directors at Ethidex Inc. Ethidex provides legislative compliance and risk management services to banks, trusts, insurers and investment managers. Paul has had a long career as an Internal Auditor & Management Advisor on compliance and risk concerns. Paul's experience includes: process re-engineering; business strategy evaluations; business risk management; expense re-alignment initiatives; investment, operational and technology audits; key control reviews; system development projects; fraud investigations and regulatory compliance.

Prior to founding Ethidex Inc. with two business partners in 2004, Paul worked with PricewaterhouseCoopers' Advisory Services and the Internal Audit Departments of the Confederation Life Group of Companies and the Canadian Branch of Mutual Omaha Insurance Company.

Paul holds a Master of Business Administration degree and is a Certified Management Accountant .

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Prema Thiele is a partner in our Toronto office. Prema was called to the Ontario Bar in 1992. She is a native of Saskatoon and graduated from the University of Saskatchewan in 1990, with both a bachelor of laws (with distinction) and bachelor of commerce (with distinction).

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Rebecca Cowdery is a partner at our Toronto office. She joined Borden Ladner Gervais LLP (BLG) in November 2003, after nine years as a senior investment funds regulator with the Ontario Securities Commission. She has a Bachelor of Arts degree in political science and a law degree from the University of Alberta. She was called to the Bar in Alberta in 1983 and in Ontario in 1986.

Rebecca has over 20 years of experience in working with the investment management industry as a lawyer and a regulator. Since joining BLG, Rebecca has assisted clients in keeping on top of regulatory developments and in implementing new regulations and compliance expectations and practices. She works with fund managers to establish new products and to manage funds in compliance with applicable regulation. Among other things, she assists fund managers and independent review committees to effectively implement and comply with National Instrument 81-107. Rebecca also focuses on advising firms about effective implementation of the new regulatory and compliance requirements for registrants mandated by the Canadian securities regulators.

Rebecca acts as regulatory counsel to the RESP Dealers Association of Canada (since 2008) and regularly participates in committees of the Portfolio Management Association of Canada and The Investment Funds Institute of Canada. Rebecca also provides regulatory updates to the Canadian Institute of Financial Planners and to the Federation of Independent Mutual Fund Dealers of Canada. Rebecca was at the forefront of all major investment fund regulatory reform initiatives during her tenure at the OSC and has recognized expertise in investment management public policy, regulation and practice.

Her responsibilities while at the OSC included:

• Leading the Canadian Securities Administrators policy projects to update and reform mutual fund regulation. This work included creating and implementing the national instruments dealing with mutual fund prospectus disclosure (81-101), mutual fund operations and management (81-102), commodity pools (81-104) and mutual fund sales practices (81-105). Rebecca was the principal author of the CSA concept proposal 'Striking a New Balance: A New Framework for Regulating Mutual Funds and their Managers' and worked after its publication in March 2002 to develop draft rules to regulate fund governance.
• Leading the Canadian Securities Administrators work to harmonize the regulation of mutual funds and segregated funds.
• Leading the Ontario, Alberta and British Columbia securities commissions work to create and recognize the Mutual Fund Dealers Association of Canada as a self-regulatory organization.

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Richard Chen is the Editor In Chief of The Hedge Fund Law Report, the leading weekly publication providing thought leadership and actionable intelligence for professionals in the hedge fund industry. Prior to joining The Hedge Fund Law Report, he practiced law at various major law firms focusing his practice on structuring hedge fund and private equity fund products and management entities; advising fund managers on operational, compliance, regulatory and trading issues; negotiating and drafting service provider agreements; guiding fund managers through the SEC adviser registration and de-registration process; and negotiating with investors for hedge fund and private equity fund investments, including side letters and seed capital arrangements. He graduated from Harvard Law School in 1998 and from Harvard College with honors in 1995.

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Richard D. Marshall is a partner in the Investment Management and Securities Litigation groups of Ropes & Gray. Since entering private practice, he has conducted compliance reviews and provided compliance counseling for investment companies, investment advisers, hedge funds, and broker-dealers; represented individuals and regulated entities in inspections, investigations, and litigation against the Securities and Exchange Commission, self-regulatory organizations, state securities regulators, and U.S. Attorney's offices; and counseled investment companies, investment advisers, hedge funds, and broker-dealers on regulatory matters.

Before joining Ropes & Gray, he had been Senior Associate Regional Administrator in the New York office of the Securities and Exchange Commission. In that position, he supervised a staff of seventy that conducted inspections of investment companies and advisers in the New York region and oversaw enforcement matters related to those entities. He has also been a branch chief in the Division of Enforcement of the Securities and Exchange Commission in Washington, D.C.

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Torstein Braaten, is the Chief Executive Officer and Chief Compliance Officer of TriAct Canada Marketplace LP, an Alternative Trading System (ATS) which operates MATCH NowSM, Canada’s first choice for dark liquidity. Prior to taking on the CEO role at TriAct, Mr. Braaten was the Chief Compliance Officer at ITG Canada Corp. Prior to ITG, Mr. Braaten held progressive institutional compliance positions at RBC Capital Markets, Bank of America in Charlotte, North Carolina and BMO Nesbitt Burns in Toronto. Mr. Braaten has in total 20 years of Banking and Investment Dealer experience. Mr. Braaten is a Director with the National Society of Compliance Professionals, Chair of the IIROC Market Rules Advisory Committee, completed the NSCP Certified Securities Compliance Professional certification and has a Bachelor of Commerce from Carleton University, Ottawa, Canada.

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