Ask The Regulator 2015 - CCLS Education Sub-Committee

CCLS Education Sub-Committee

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Ask The Regulator 2015

Moderated by David Hausman, Partner, Fasken Martineau
Feasturing:

Tom Atkinson, Director of Enforcement, OSC
Stephen Poirier, Managing Regulatory Coordinator, FINRA
Shaun Devlin, Senior Vice-President, MFDA
Elsa Renzella, Vice President, Enforcement, IIROC

1. a. Have you or your firm had direct contact with any individuals from the OSC over the last 12 months? *

Yes No N/A

1. b. Do you have any questions specifically for the OSC to address? *

2. a. Have you or your firm had direct contact with any individuals from FINRA over the last 12 months? *

Yes No N/A

2. b. Do you have any questions specifically for FINRA to address? *

3. a. Have you or your firm had direct contact with any individuals from the MFDA over the last 12 months? *

Yes No N/A

3b. Do you have any questions specifically for the MFDA to address? *

4. a. Have you or your firm had direct contact with any individuals from IIROC over the last 12 months? *

Yes No N/A

4. b. Do you have any questions specifically for IIROC to address? *

5. Do you have any questions specifically for our Moderator, David Hausman? *

6. Do you have any questions that you would like addressed by the entire panel or by more than one regulator - please specify to whom your question(s) is/are directed. *

Submit

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