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Committees

A key role of IIAC is to lead the development of Committees to identify and advocate for industry and market improvements.

These working Committees are comprised of representatives from IIAC's membership.

All member firms are encouraged to appoint a representative to relevant committees so that they may make their point of view heard, and participate in the development and advancement of industry priorities.

To request more information or to join one of the committees listed below, please e-mail publicaffairs@iiac.ca.

Regional Committees

Regional Committees are the primary means to exchange ideas on issues and to provide input on policy matters of both regional and national spectrum, including securities legislation; regulatory, capital markets and government policy initiatives; and business practice issues.

Meeting frequency: Quarterly or as agreed to with Committee and Chair.

Regional Chairs:

  • British Columbia - Bruce Maranda, Canaccord Genuity Corp.
  • Alberta - Michael Wood, RBC Dominion Securities Inc.
  • Manitoba - Michelle Bradet-Simpson, Richardson GMP
  • Québec - TBD
  • Atlantic - Mary Jacobs, TD Waterhouse Canada Inc.

IIAC Contacts:

  • British Columbia, Alberta, Manitoba: Susan Copland (Tel: 604-637-1677, email: scopland@iiac.ca)
  • Québec and Atlantic Canada: Marcel St-Amour (Tel: 514-843-8950, email: mstamour@iiac.ca)

Communications and Member Relations Committee

The Communications and Member Relations Committee's mandate is to further the growth and development of the Canadian investment industry by reviewing and sharing communications best practices. The Committee addresses topics that include the communication of industry issues relating to IIAC activities and industry news, how information is communicated, and the effectiveness of the communications.

Meeting frequency: 4 times per year

IIAC Contacts:

Compliance Committee

The Compliance Committee reviews the formulation of rules and policies governing industry practices and standards and undertakes studies on matters relating to client dealings and compliance. The Committee also monitors and comments on regulatory and legislative proposals relating to compliance and supervisory systems. The Committee provides a forum for the exchange of best practices and discusses issues of common concern. It provides a catalyst for the creation of business tools to help members comply with regulation cost-effectively. In addition, the Committee suggests topics for educational programs and seminars.

Meeting frequency: 3-6 times per year

Chair: Chris Climo, CIBC World Markets

IIAC Contacts:

Debt Markets Committee

The Debt Markets Committee represents the securities industry position on policy and regulatory proposals related to activity in primary and secondary debt markets. The Committee acts on behalf of the securities industry in representations to authorities on matters including transparency and market regulation. The Committee participates with other foreign organizations to share conventions for dealing in international debt markets.

Meeting frequency: As required

IIAC Contact: Jack Rando (Tel: 416-687-5477, email: jrando@iiac.ca)

Equity Markets Committee

The Committee represents the securities industry on proposed provincial legislation and regulations governing market-making and trading in secondary equity markets, and market structure. The mandate of the Committee is to develop and articulate policies that relate to transactional activity and structural change in domestic markets and that contribute to efficient, competitive and well-functioning markets.

Meeting frequency: As required

Chair: Greg Mills, RBC Capital Markets

IIAC Contact: Susan Copland (Tel: 604-637-1677, email: scopland@iiac.ca)

Insurance Committee

The Insurance Committee provides firms an opportunity to discuss issues of interest and a venue for discussion on policy issues pertaining to the retail insurance business. Topics include referral fees, continuing education for insurance registrants, and estate planning issues.

Meeting frequency: Monthly (or as decided by the Chair, with Committee agreement)

Chair: Jackie Pries, TD Waterhouse Insurance Services

IIAC Contact: Michelle Alexander (Tel: 416-687-5471, email: malexander@iiac.ca)

Investment Banking Committee

The Investment Banking Committee develops and represents the securities industry position on provincial securities legislation and regulations related to the primary markets, including disclosure of corporate finance transactions and restructurings, such as going-private transactions.

Meeting frequency: As required

Chair: James Barltrop, Scotia Capital Markets

IIAC Contact: Susan Copland (Tel: 604-637-1677, email: scopland@iiac.ca)

Private Client Committee

The Private Client Committee provides members with advice and advocacy on policy issues pertaining to the retail business of the securities industry. Such policy issues include the review and consideration of the impact of regulation and trends on retail business activities. The Private Client Committee also focuses on investor confidence and measures to enhance industry reputation and profile.

Meeting frequency: 9 times per year

Chair: Alex Cruickshank, Scotia Capital Inc.

IIAC Contact: Michelle Alexander (Tel: 416-687-5471, email: malexander@iiac.ca)

Small Dealers / Introducing Firms Committee

The Small Dealers / Introducing Firms Committee represents the views and interests of small member firms, including introducing firms. It addresses the needs of these firms by providing a peer network for firms to share information and experience. It is also provides input on legislative and regulatory requirements to ensure that the specific concerns of such firms are appropriately considered on these matters.

Meeting: 6-10 times per year

Chair: Bill Packham - Hampton Securities

IIAC Contact: Susan Copland (Tel: 604-637-1677, email: scopland@iiac.ca)

Tax Reporting Committee

The Tax Reporting Committee reviews proposed amendments to federal and provincial tax legislation from an operational perspective, comments on proposed tax reporting forms and develops securities industry positions on practical and conceptual matters surrounding tax reporting, tax-sheltered investment plans and other tax-related matters. The committee interacts with federal and provincial governments to address concerns, providing recommendations and proposing solutions. The committee also works with Canadian Depository for Securities Limited (CDS) regarding enhancements to tax reporting, reconciliations and other tax-related services that CDS Clearing & Depository Services Inc. provides. Finally, the Tax Reporting Committee works with issuers to ensure timely reporting by them on the CDS Innovations tax factor reporting website so that investors can receive tax slips on as timely a basis as possible.

Meeting frequency: Monthly

Chair: Brian Snider, BMO Nesbitt Burns

IIAC Contact: Jack Rando (Tel: 416-687-5477, email: jrando@iiac.ca)

U.S. Tax Committee

The U.S. Tax Committee reviews and comments on proposed amendments to U.S. tax withholding and reporting legislation, regulations and policies. It develops Canadian securities industry positions on practical and conceptual matters surrounding U.S. tax withholding and reporting requirements, including advocacy and developing best practices.

Meeting frequency: monthly

IIAC Contact: Andrea Taylor (Tel: 416-687-5476, email: ataylor@iiac.ca)

See the organizations that are part of IIAC's members and Associate members.



Investing Today

Investing Today is the name of an 8 page section developed by IIAC and appearing on the first Monday of every month in the National Post.

Each issue explores one theme as it relates to three different kinds of investors: novice, intermediate and advanced.

Investing Today

 January 9, 2012
it-2012_01_09

Investing Today

What kind of investor are you?


Novice | Intermediate | Advanced