CCLS Education Sub-Committee
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We have changed our name from Compliance and Legal Section (CLS) to Conduct, Compliance and Legal Advisory Section (CCLS).

Welcome to the Conduct, Compliance & Legal Advisory Section (CCLS) Education Sub-Committee of the Investment Industry Regulatory Organization of Canada (IIROC).
 
We are a group of volunteers in the Compliance & Legal field, dedicated to providing IIROC Member Firms with education on Compliance & Legal oriented topics. We do this via Breakfast Seminars, an Annual Conference generally held in December of each year and a Golf Tournament. 
Our aim is to serve your needs, so please do not hesitate to contact any of the members of the Education Sub-Committee with your suggestions or email the Sub-Committee at either chair@clseducation.ca or at registrations@clseducation.ca.

Continuing Education Credits

IIROC CE CREDITS:
  • Participants in our Breakfast Seminars are eligible for One (1) Continuing Education Credit (CE Credit) towards fulfilling their Compliance Credits.  
  • Attendance for each hour at the Annual Conference entitles the attendee to One (1) Continuing Education Credit (CE Credit) per session for a maximum of Six (6) CE credits. 

LSUC CPD HOURS:
  • Our sessions may also be eligible to fulfil the Law Society of Upper Canada's requirements for Substantive CPD Hours.  Substantive Hours may address substantive or procedural law topics and/or related skills and need not be accredited.  Non-legal subjects may also be eligible for Substantive Hours if they are relevant to the lawyer's or paralegal's practice and professional development.  Members of the LSUC should consult with their firm's Learning & Development departments for more information.

Our Mandate

Simply put, our mandate is to develop and deliver education programmes to the Compliance and Legal professionals employed by IIROC's member firms.  

Generally, we organize and provide 3 breakfast seminars, 1 golf tournament, and 1 full-day Annual Conference each year.  We strive to provide sessions covering information that is both timely and informative for both our large and small member firms, both in the retail and institutional areas, as well as topics that are of more general interest to our constituency.

Our committee is made up entirely of volunteers who donate their time and expertise. 

​Our Committee
 
Sub-Committee Executive:

Bill Brown, Chair                                        Mackie Research               
Alexandra Diplaros, Vice-Chair                 CIBC Wood Gundy
Brad Rowland, Registrations                    iA Private Wealth

Sub-Committee Volunteers:
 
Joy Allen                                                     Scotia Capital Inc  
Shailesh Ambike                                        Scotia Capital Inc  
Waffina Solaani                                          Edward Jones   
Lily Chan                                                     Risk Management Services Inc
Brian Choy                                                  Morgan Stanley Canada Limited  
Shawn Collett                                             TD Securities  
Andrew Dundass                                        UBS Securities Canada Inc
John Fabello                                               Torys LLP  
Brian Pynn                                                   ATB Securities  
Neal Weston                                                Scotia Capital Inc
Jilin Wen                                                      CIBC Capital Markets  
Joe Zambito                                                 RBC Capital Markets  
Marissa Cusi                                                Edward Jones  
Wendy Sieukaran                                        BMO Nesbitt  
Samantha Nagaratnam                               PwC Canada  
Debbie Mugridge                                         Richardson GMP  
Firdaus Kapadia                                          Scotia Capital Inc 
Nancy Tu                                                      Questrade Inc
 
IIROC SRO Representatives :

​Dianne Weatherby


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