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New SRO launches investor advisory panel

Ensuring that the new regulator has greater input from the retail investor perspective was one of the fundamental objectives of the self-regulatory reform, starting with a merger of the MFDA and the Investment Industry Regulatory Organization of Canada (IIROC).

In addition to the IAP, the new SRO also has an internal branch dedicated to investors, the Office of the Investor, which will support the independent IAP and is responsible for investor education and outreach.

The IAP is chaired by Sanford, former head of the MFDA IPC, with professor Moshe Milevsky from York University’s Schulich School of Business as vice-chair.

The other members are Kerry Baisley, a retired public servant; Heidi Conrad, an accountant; James Emmerton, a lawyer and former director of the Ombudsman for Banking Services and Investments; law professor Cristie Ford; François Lavallée, retired legal executive from National Bank Financial Group; retired regulator Andrew Nicholson; and Enoch Omololu, a personal finance educator focused on newcomers to Canada.

“We are pleased to have such an accomplished and qualified group of individuals join the Investor Advisory Panel,” said Andrew Kriegler, president and CEO of the new SRO, in a release.

“Their insights and guidance will be invaluable as we work to fulfill our mission of protecting investors.”

The IAP members have been appointed for a minimum term of two years. The group will provide the SRO with input on regulatory policy, annual priorities, strategic plans and other investor protection initiatives.

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