ALBERTA    

William S. Rice, Q.C.

Chair, Alberta Securities Commission
WilliamSRiceMr. Rice is currently Chair and Chief Executive Officer of the Alberta Securities Commission.  Prior to his joining the Alberta Securities Commission on July 18, 2005, Mr. Rice was a partner of the Bennett Jones LLP law firm in Calgary. During the five years prior to his appointment to the Alberta Securities Commission, Mr. Rice served as the firm’s national managing partner. He graduated from Bishop’s University with a BA in 1968 and from Osgoode Hall Law School with an LLB in 1972.  While at Bennett Jones, Mr Rice practised as a member of the litigation bar from 1974 until 1979 and as a securities law specialist thereafter.  Mr. Rice served as a member and chair of a number of companies, both public and private, over a period of some 15 years.

Mr. Rice was appointed Chair of the Canadian Securities Administrators in January 2011.

 

Alberta Securities Commission
Ste. 600 - 250, 5th Street SW
Calgary, AB   T2P OR4

Tel: (403) 297-6454
Toll Free: 1-877-355-0585
Fax: (403) 297-6156
Web site: www.albertasecurities.com
Inquiries: Inquiries@asc.ca
     
BRITISH COLUMBIA    

Brenda Leong

Chair and Chief Executive Officer, British Columbia Securities Commission
BrendaleongPrior to this appointment, Ms. Leong was the chief operating and chief enforcement officer of the BCSC, responsible for overseeing the financial and administrative affairs of the commission. She has successfully initiated and delivered results for all of the BCSC’s operating divisions, implemented significant service enhancements, and built strong relations with securities regulators in other provinces through the Canadian Securities Administrators. Brenda Leong holds a Bachelor of Commerce in Finance from the University of Alberta, Edmonton and a Bachelor of Laws from Osgoode Hall Law School, Toronto. Before joining the Commission, she practiced corporate and securities law in Vancouver. 

 

British Columbia Securities Commission
P.O. Box 10142, Pacific Centre
701 West Georgia Street
Vancouver, BC   V7Y 1L2

Tel: (604) 899-6500
Toll Free: 1-800-373-6393
Fax: (604) 899-6506
Web site: www.bcsc.bc.ca
Inquiries: inquiries@bcsc.bc.ca
     
MANITOBA    

Don Murray

Chair, The Manitoba Securities Commission
DonMurrayMr. Murray graduated from the University of Manitoba Law School in 1976 and practiced law for 20 years, most recently with McJannet Rich in general commercial practice, including securities and limited partnership work.  He was appointed to The Manitoba Securities Commission as a part-time Commissioner in 1993 and became Vice-Chair in 1994. In December 1997, Mr. Murray accepted an appointment as the Chair of the Commission. As Chair, he represents the Commission with the Canadian Securities Administrators and is a member of the Policy Coordination Committee of the CSA. He is a former member of the Board of Directors of the North American Securities Administrators based in Washington, DC.

 

The Manitoba Securities Commission
500 - 400 St. Mary Avenue
Winnipeg, MB  R3C 4K5

Tel: (204) 945-2548
Fax: (204) 945-0330
Web site: www.msc.gov.mb.ca
Inquiries: securities@gov.mb.ca

 

     
NEW BRUNSWICK    

Peter Klohn

Chair, Financial and Consumer Services Commission
PeterKlohnMr. Klohn is the chair of the Financial and Consumer Services Commission having assumed that position on January 1, 2014.

Mr. Klohn was a senior partner in Stewart McKelvey with a diverse national practice in securities law, regulated industries, corporate law and corporate finance. He has established a number of public companies within New Brunswick. Klohn acted as consultant to the New Brunswick government in providing recommendations for new securities legislation. His report, entitled “Responding to the Challenge of Borderless Markets: Recommendations for Reform of Securities Law in New Brunswick”, resulted in the establishment of the New Brunswick Securities Commission in 2004. Klohn is an accredited corporate director (ICD.D) of the Institute of Corporate Directors, Rotman School of Management (2011). In 2013 he was profiled in the Lexpert Directory as a leading practitioner in Canada in corporate finance and mergers and acquisitions. Klohn represented New Brunswick as a member of the Advisory Committee to the Canadian Securities Transition Office responsible for reviewing proposals for federal regulation of securities in Canada. He is a former member of the Council for the NB Branch of the Canadian Bar Association and is active in community affairs. He currently serves as Chair of the Harbour Station Commission and is a member of the Board of Governors of Rothesay Netherwood School.

 

Financial and Consumer Services Commission
85 Charlotte Street, Suite 300
Saint John, NB  E2L 2J2

Tel: (506) 658-3060
Fax: (506) 658-3059
Web site: http://www.fcnb.ca
Inquiries: info@fcnb.ca

 

     
NEWFOUNDLAND AND LABRADOR    

Don Boyles

Deputy Superintendent of Securities, Service Newfoundland and Labrador
DonBoyles
Mr. Boyles joined the Financial Services Regulation Division in 1997. Prior to 1997 he worked as a senior auditor with the Office of the Auditor General for 10 years and held several other positions with the Government of Newfoundland and Labrador. Mr. Boyles became a member of the Society of Management Accountants of Newfoundland and Labrador in 1990. Mr. Boyles was appointed the Deputy Superintendent of Securities in 2009. He is also the Deputy Superintendent of Real Estate Agents and Salespersons, the Deputy Registrar of Mortgage Brokers and the Administrator of the Consumer Protection Fund for Prepaid Funerals.

 

Office of the Superintendent of Securities
Service Newfoundland and Labrador
2nd Floor, West Block
Confederation Building
P.O. Box 8700
St. John's, NL  A1B 4J6

2nd Floor, West BlockConfederation BuildingP.O. Box 8700St. John's, NL  A1B 4J6
Tel: (709) 729-4189
Fax: (709) 729-6187
Web site: www.gov.nl.ca/gs

 

     
NORTHWEST TERRITORIES    

Gary MacDougall

Superintendent of Securities, Department of Justice
Northwest Territories Securities Office

GaryMacDougallMr. MacDougall is the Superintendent of Securities for the Northwest Territories, appointed in 2008 under its new Securities Act.  Under the former Act, he was first appointed as Registrar of Securities in 1981, making him the longest serving executive member of the CSA.  As Director of Legal Registries, he is also the Inspector of Land Titles for the Northwest Territories and has overall responsibility for the Corporate Registries and Personal Property Registry.

Mr. MacDougall received a Bachelor of Arts degree from the University of Guelph in 1976 and in 1979 obtained a Bachelor of Laws degree from Osgoode Hall Law School. He was called to the Ontario Bar in 1981 and the Northwest Territories Bar in 1982. He is also a member of the Canadian Conference of Land Titles Officials and Canadian Conference on Personal Property Security Law. 

 

Office of the Superintendent of Securities, Northwest Territories
Department of Justice
Government of the Northwest Territories
1st Floor Stuart M. Hodgson Building
5009 - 49 th Street
P.O. Box 1320
Yellowknife, NT   X1A 2L9

Tel: (867) 920-3318
Fax: (867) 873-0243
Web site: www.justice.gov.nt.ca/
     
NOVA SCOTIA    

Sarah P. Bradley

Chair, Nova Scotia Securities Commission
SarahBradleySarah P. Bradley was appointed Chair and CEO of the Nova Scotia Securities Commission on January 1, 2012, having served as Vice-Chair of the Commission since 2010. In connection with her work with the Commission, Ms. Bradley is a member of the Canadian Securities Administrators’ Policy Coordination Committee and the Joint Forum of Financial Regulators.

In addition to her work with the Commission, Ms. Bradley is a Professor of Law at Dalhousie University's Schulich School of Law, teaching and researching in the areas of securities regulation, corporate law and corporate governance. She was educated at the University of Toronto (B.Sc.), Queen’s University (LL.B.) and Harvard Law School (LL.M.). Prior to commencing her academic career, Ms. Bradley practiced law in Toronto and Halifax. She has been called to the bar in Ontario, Nova Scotia and New York.

Ms. Bradley was appointed Vice-Chair of the Canadian Securities Administrators in April 2013.

 

Nova Scotia Securities Commission
Ste. 400, Duke Tower
5251 Duke Street
PO Box 458
Halifax, NS B3J 2P8

Tel: (902) 424-7768
Fax: (902) 424-4625
Web site: nssc.novascotia.ca 
Inquiries: NSSCinquiries@gov.ns.ca

 

     
NUNAVUT    

Louis Arki

Superintendent of Securities, Nunavut
LouisArkiMr. Arki is currently the Superintendent of Securities and Director of the Legal Registries Division, Department of Justice, Government of Nunavut.

Mr. Arki was born in Europe and moved to Canada where he obtained his Bachelor’s degree with distinction from the University of Alberta and received his LL.B. from the University of Ottawa.  He was called to the Bar of Ontario in 1982 and practiced in Ottawa till 1989 in the areas of litigation and administrative law, at all court levels including the Supreme Court of Canada.  He then held a variety of positions in the Ontario public service, including that of Counsel assigned to the Ministry of Consumer and Commercial Relations, until he joined the Legal Registries Division of the Department of Justice, Government of Nunavut in 2006. 

Mr. Arki is a member of the Law Society of Upper Canada, the Canadian Association of Corporate Law Administrators, NASAA and the Canadian Conference of Land titles Officials.

 

Nunavut Securities Office
Department of Justice
Government of Nunavut
1st Floor, Brown Building
P.O. Box 1000 - Station 570
Iqaluit, NU   X0A 0H0

Tel: (867) 975-6590
Fax:

(867) 975-6594

Web site: Office of the Superintendent of Securities
     
ONTARIO    

Honourable Howard I. Wetston, Q.C.

Chair, Ontario Securities Commission
HowardWetstonHoward I. Wetston was appointed Chair and CEO of the Ontario Securities Commission (OSC) on November 15, 2010. 

Mr. Wetston was the Chair and CEO of the Ontario Energy Board from 2003 until his appointment to the OSC. From 1999 to 2003, he served as a Vice-Chair of the OSC. 

From 1993 to 1999, Mr. Wetston served as a Judge of the Federal Court of Canada, Trial Division, and an ex-officio member of the Federal Court’s Appeal Division. From 1989 to 1993, he was the Director of Investigation and Research (now Commissioner of Competition) with the Bureau of Competition Policy. 

Previously, Mr. Wetston was in private practice in Ottawa, associated with the firms of Burnet, Duckworth & Palmer in Calgary and Phillips & Vineberg in Montreal. Before entering private practice, he served as General Counsel to the Canadian Transport Commission and as Associate General Counsel to the National Energy Board. Prior to that, Mr. Wetston was the General Counsel to the Consumers Association of Canada. In addition, he was a member of the federal Department of Justice as Crown Counsel and Crown Counsel in the Nova Scotia Attorney General’s Department. 

Mr. Wetston was educated at Mount Allison University (B.Sc.) and Dalhousie University (LLB). He was appointed Queen’s Counsel (Q.C.) in 1990 and is a member of the Ontario and Alberta Bars. In 2005, he graduated from the Certified Directors Education Program of the Institute of Corporate Directors (ICD). 

Mr. Wetston is a member of the Board of Directors of Mount Sinai Hospital in Toronto.

 

Ontario Securities Commission
20 Queen Street West
22nd Floor
Toronto, ON   M5H 3S8

Tel: (416) 593-8314
Toll Free (Ontario): 1-877-785-1555
Fax: (416) 593-8122
Web site: www.osc.gov.on.ca
Inquiries: Inquiries@osc.gov.on.ca

 

     
PRINCE EDWARD ISLAND    

Katharine Tummon

Superintendent of Securities
KatharineTummonKatharine Tummon has been the Director of the Consumer, Corporate and Insurance Services Division of Prince Edward Island’s Office of the Attorney General since March, 2007. This Division is responsible for the administration of the PEI Securities Act. Prior to her appointment as Director, Ms. Tummon held the position of Corporate Counsel to the Division for 5 years. 

Ms. Tummon is a law graduate of the University of Toronto and holds a Master of Arts in Philosophy. Prior to moving to PEI, she was Legal Counsel to the government of the Northwest Territories.

 

Office of the Superintendent of Securities
Consumer, Corporate and Insurance Services Division
Office of the Attorney General
95 Rochford Street, P.O. Box 2000
Charlottetown, PE   C1A 7N8

Tel: (902) 368-4569
Fax: (902) 368-5283
Web site: www.gov.pe.ca/securities

 

     
QUEBEC    

Louis Morisset

President and Chief Executive Officer, Autorité des marchés financiers
LouisMorissetMe Louis Morisset assumed the position of President and CEO of the Autorité des marchés financiers (“AMF”) on July 2, 2013. Upon joining the AMF in May 2006, he served as Superintendent, Securities Markets. Me Morisset has played a key role in numerous major operational, public policy and regulatory issues at the Canadian Securities Administrators (CSA).

On the international scene, Me Morisset represents the AMF on the board of the International Organization of Securities Commissions (IOSCO) and has been instrumental in IOSCO initiatives over the past several years.

Me Morisset is a member of numerous boards of directors, including those of the Institute for Governance of Private and Public Organizations, Finance Montréal, the financial services cluster of Québec, the Montreal Institute of Structured Finance and Derivatives and the Collège des administrateurs de sociétés. He is also a member of the Accounting Standards Oversight Council (AcSOC) since March 2007.

Prior to joining the AMF, Me Morisset was a partner at the law firm Stikeman Elliott LLP, where he acquired extensive experience in securities law, corporate finance and mergers and acquisitions in Canada, the U.S. and Europe. Me Morisset graduated in law from the University of Montréal in 1995 and was called to the Bar of the Province of Québec in 1996.

 

Autorité des marchés financiers
800, Square Victoria, 22e étage
C.P. 246, Tour de la Bourse
Montréal, QC   H4Z 1G3

Tel: Montréal (514) 395-0337
  Québec (418) 525-0337
Toll Free: 1-877 525-0337
Fax: (514) 873-3090
Web site: www.lautorite.qc.ca
     
SASKATCHEWAN    

Dave Wild

Chair, Financial and Consumer Affairs Authority of Saskatchewan
DaveWildMr. Wild was appointed as Chair of the Securities Commission in August 2001.  He was appointed as Chair of the Financial Services Commission on February 1, 2003.  He is also the Superintendent of Pensions and responsible for the administration of The Pensions Benefits Act in Saskatchewan.  Mr. Wild has significant experience as a pension plan administrator in the public sector in Saskatchewan.  He has also worked as an asset management consultant providing investment advice to pension plans, and was involved in the establishment of the Saskatchewan Pension Plan.

Mr. Wild is an active member of the Canadian Association of Pension Supervisory Authorities and the Joint Forum of Financial Market Regulators. 

 

Financial and Consumer Affairs
Authority of Saskatchewan 

6th Floor 1919 Saskatchewan Drive
Regina, SK   S4P 3V7

Tel: (306) 787-5645 (Regina)
Fax: (306) 787-5899 (Regina)
Web site: http://www.fcaa.gov.sk.ca/
     
YUKON TERRITORY    

Fred Pretorius

Superintendent of Securities, Yukon
FredPretoriusMr. Pretorius studied law at the PU for CHE (North-West University) in South Africa and graduated with a Bachelor of Laws (LL B) in 1990. He was admitted as an Attorney of the High Court of South Africa in 1993 and also became a member of the Law Society of the Northern Provinces. He practised law as an attorney at the L’Ange, De Waal & Freysen law firm in Klerksdorp until 1997, whereafter he became legal adviser at Sanlam Life Insurance Limited, and was admitted as an Advocate of the High Court of South Africa. He successfully completed the professional examinations of the Institute of Life and Pension Advisers and qualified as Certified Financial Planner of the Financial Planning Institute of South Africa (affiliated with the FPSB of the United States of America) and was a member of the Institute from 2000 – 2005. In 2004, he acquired a Master of Laws degree (LL.M.) from the University of Stellenbosch in South Africa. He also served on several steering committees of business and cultural organizations during his career.

Mr. Pretorius relocated to Canada during 2007 and became the Director of Corporate Affairs in 2008. He is also the Superintendent of Securities in Yukon, and a member of the Canadian Association of Corporate Law Administrators and the North American Securities Administrators Association.

 

Office of the Yukon Superintendent of Securities
Community Services,Yukon Government
307 Black Street, 1st Floor, Whitehorse, Yukon Y1A 2N1

Tel: (867) 667-5225
Fax: (867) 393-6251
Web site: Office of the Yukon Superintendent of Securities

 

     

For general information, please contact

CSA SECRETARIAT
Tour de la Bourse
800, Square Victoria
Suite 2510
Montreal Quebec H4Z 1J2

Tel: (514) 864-9510
Fax: (514) 864-9512
E-mail: csa-acvm-secretariat@acvm-csa.ca