ALBERTA    

Tom Cotter

Interim Chair and Chief Executive Officer , Alberta Securities Commission
TomCotterMr. Cotter was appointed interim Chair and Chief Executive Officer on October 1, 2015. He maintains his position as Vice-Chair, to which he was appointed in April 2014. Prior to his employment with the Alberta Securities Commission Mr. Cotter was a partner in the business law group with a national law firm, where he advised companies and investment firms on public offerings, private placements, cross-border financings, mergers and acquisitions, reorganizations, recapitalizations, going-private transactions, corporate governance, proxy contests and regulatory compliance.

 

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
DMurray2Mr. 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.mbsecurities.ca
Inquiries: securities@gov.mb.ca

 

     
NEW BRUNSWICK    

Peter Klohn

Chair, Financial and Consumer Services Commission
PeterKlohnMr. Klohn is the independent Chair of the Financial and Consumer Services Commission (New Brunswick) which is an integrated financial regulator.

Mr. Klohn was previously a senior partner in a regional law firm with a diverse national practice in securities law, regulated industries, corporate law and corporate finance. He was responsible for a report to government which resulted in the establishment of the New Brunswick Securities Commission in 2004 and was a member of the Advisory Committee to the Canadian Securities Transition Office which was 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 the boards of a variety of business, legal, arts and community organizations.

Mr. Klohn is a graduate of the University of New Brunswick (B.B.A. 1979) and York University (Osgoode Hall, LL.B. 1982). He is also an accredited corporate director (ICD.D) of the Institute of Corporate Directors, Rotman School of Management (2011).

 

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    

John O’Brien

Superintendent of Securities, Service Newfoundland and Labrador
JohnOBrienMr. O’Brien was appointed Superintendent of Securities on September 8, 2015 with the Financial Services Regulation Division of Service Newfoundland and Labrador. Prior to joining the Department, Mr. O’Brien was a partner with a national accounting firm and he has over 20 years’ experience in financial accounting, securities and regulatory matters. John has a bachelor of Commerce (Hons.) from Memorial University and Fellow Chartered Professional Accountant (FCPA). Mr. O’Brien has served in a number of leadership roles within the firm and the community including as Chair of the Institute of Chartered Accountants of Newfoundland and Labrador (2013-14) and Co-Chair CPA Transition Steering Committee.

 

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    

Tom Hall

Superintendent of Securities, Office of the Superintendent of Securities
TomHallMr. Hall is currently the Associate Director of the Legal Registries Division of the Department of Justice. He was appointed Superintendent of Securities for the Northwest Territories on July 25, 2015, and also holds appointments as the Inspector of Land Titles, Registrar of Corporations, Registrar of Personal Property, Registrar of Co-operative Associations and Registrar of Societies.

Born and raised in the Northwest Territories, he received his B.Sc.(Geology) and his law degree (J.D.) from the University of Saskatchewan. Following several years in private practice in Saskatchewan and the NWT, Mr. Hall joined the Legal Registries Division in 1994. Mr. Hall was also a member of the Board of Directors of the Yellowknife Community Foundation for 9 years, serving as President for 6 years.
 

 

Office of the Superintendent of Securities
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) 767-9305
Fax: (867) 873-0243
Web site: https://www.justice.gov.nt.ca/en/divisions/legal-registries-division/securities-office/
     
NOVA SCOTIA    

Paul E. Radford

Chair, Nova Scotia Securities Commission
PaulRadfordOn November 10, 2015, Paul Radford was appointed Chair of the Nova Scotia Securities Commission. Prior to that Mr. Radford assumed duties as acting Chair and Chief Executive Officer of the Nova Scotia Securities Commission on September 5, 2015, upon the resignation of Sarah P. Bradley. Mr. Radford has been a Commissioner of the Commission since 2006 and has served as Vice-chair since December, 2012.

He graduated from Dalhousie University with a Bachelor of Commerce in 1978 and a Bachelor of Laws from Dalhousie University’s Schulich School of Law in 1981 and was called to the Bars of Nova Scotia in 1982 and British Columbia in 1983. His role with the Commission is part-time and he continues his law practice at the Halifax law firm, where he has practiced since 1993, in commercial and corporate law. Mr. Radford was appointed Queen’s Counsel in 2008.
 

 

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    

Stephen Mansell

Superintendent of Securities, Nunavut Securities Office

 

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    

Maureen Jensen

Chair and Chief Executive Officer of the Ontario Securities Commission
MaureenJensenMaureen Jensen is the Executive Director and Chief Administrative Officer of the Ontario Securities Commission (OSC), which administers and enforces securities law in the capital markets of the province of Ontario. As the senior member of staff, Ms. Jensen is responsible for coordinating and managing the day-to-day operations of the OSC, including enforcement, market regulation, compliance functions and all corporate functions. In addition, she provides leadership and direction in policy development and implementation.

Prior to joining the OSC, Ms. Jensen was Senior Vice-President, Surveillance and Compliance, with the Investment Industry Regulatory Organization of Canada (IIROC), and prior to that President and CEO of Market Regulation Services Inc. (RS).

Previously, Maureen held senior positions in regulatory and business portfolios at the Toronto Stock Exchange and enjoyed a 20-year career in the mining business, holding both executive and technical management positions with several resource companies.

Ms. Jensen holds a Bachelor of Science degree from the University of Toronto and is a Registered Professional Geoscientist (P.Geo) and a Registered Director (ICD.D).

 

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    

Steve Dowling

Acting Director, Superintendent of Securities

 

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    

Roger Sobotkiewicz

Acting Chair and CEO, Financial and Consumer Affairs Authority of Saskatchewan
RogerSobotkiewiczRoger Sobotkiewicz was appointed Chairperson of the Financial and Consumer Affairs Authority of Saskatchewan on February 4, 2016. He held the position of acting Chairperson since February 1, 2015. Mr. Sobotkiewicz is also the CEO of the Authority and holds a number of statutory appointments, including Superintendent of Insurance, Superintendent of Pensions, Superintendent of Financial Institutions and Registrar of Credit Unions. Mr. Sobotkiewicz acted as legal counsel for the Authority for more than a decade, during which time he led a number of significant legislative and policy initiatives for the Authority. Prior to joining the Authority, he practiced law in private practice and in the Crown sector. He holds a Bachelor of Laws degree from the University of Manitoba. 

 

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) 667-5466
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