Don is a graduate of the University of Manitoba’s Faculty of Law and has been practicing law in Winnipeg since 1990. He was previously the National Director of Compliance for IQON Financial, a 400 advisor mutual fund dealer based in Winnipeg and prior to that was Legal Counsel, Compliance, with Assante Asset Management Ltd. He provides legal counsel services and compliance oversight to portfolio managers, investment fund managers, investment dealers and exempt market dealers located from Vancouver Island to Ontario.
Stacey has been a Compliance Manager with the firm since January, 2012. Stacey has been involved in senior compliance roles for the past 14 years and was previously a Compliance Manager with Wellington West Capital Inc. and with National Bank Financial Ltd. Since joining the firm, Stacey has worked with Portfolio Managers on various compliance matters such as oversight, registration and marketing and has developed extensive experience in matters anti-money laundering-related. As well, Stacey has been involved in all aspects of the Compliance regime for MFDA and IIROC firms including: ongoing monitoring and supervision, audit activities for both external (regulatory) and internal (branch) and client complaints and investigations. She has completed multiple securities courses including the Chief Compliance Officers course and has her Financial Management Advisor designation.
Donna joined the firm in April, 2018. She consults with firms and individuals on registration and compliance matters and works with clients to complete individual and firm registration filings including exemptive relief applications. She also assists clients in the preparation of regulatory and compliance-related documentation for our clients.
Donna has over 25 years of experience in regulatory and legal environments including in a managerial role with the Ontario Securities Commission. Donna was an Assistant Manager of the Registrant Regulation Branch at the Ontario Securities Commission for over ten years where she was responsible for implementing National Instrument 31-103 Registration Requirements and Exemptions and Ongoing Registrant Obligations, the Canadian registration regime for advisers, dealers and investment fund managers which became effective in September, 2009. Donna has participated in a variety of CSA committees including the CSA Registrant Regulation and Passport Steering Committees. Following her time with the OSC at the end of 2012, Donna has been providing registration and compliance-related services including previously as a senior securities law clerk in Fasken Martineau DuMoulin LLP’s Securities Group where she was responsible for providing assistance to dealers, advisers and investment funds managers with respect to compliance and regulatory matters
Sean is a graduate of the University of Manitoba’s Faculty of Law (LL.B., 1993) and the London School of Economics (LL.M., 1994) and has been practicing law in Winnipeg since 1995. He was previously the Chief Compliance Officer for the Wellington West Group of Companies (including both its IIROC and MFDA dealers) prior to its sale to National Bank Financial Ltd. (“NBF”) in 2011. Following the Wellington West acquisition, he accepted a position with NBF and was responsible for the retail trade supervision of all retail investment advisors residing outside the province of Quebec. Prior to working at Wellington West, Sean worked as a Director and Legal Counsel for a national MFDA dealer.
Eileen joined the firm in January 2017 as a Compliance Manager. From 2004 to 2016, Eileen worked at Tetrem Capital Management Ltd. in various roles, having responsibilities primarily in the areas of Trading, Operations & Compliance. Eileen played an instrumental role in the development of policies & procedures, on-going monitoring and day-to-day operations related to these areas. Prior to joining Tetrem, Eileen worked as Assante Asset Management Ltd. from 1997- 2004, most recently as Manager, Selection and Performance Measurement, responsible for the selection and on-going monitoring of sub-advisory Investment Managers. She is a graduate of the University of Manitoba (Bachelor of Arts degree) and has completed multiple securities courses.
Carolyne has been in Business Administration and with the firm since 2012. Carolyne has been involved in Client relationships at a senior level since 2002. Carolyne began with Palliser Furniture in 1997 in various roles including Upholstery General Merchandising and Product Management (reporting to the Senior Vice President), responsible for a team of 5 people and then with their sister Company, Casana Furniture, as their Canadian National Sales Manager (reporting to the President), responsible for a team of 8 sales representatives. She has also managed accounting functions in both the restaurant industry and the window industry.