Senior Vice-President, Member Regulation – Compliance
Karen McGuinness, Senior Vice-President, Member Regulation – Compliance, has been with the MFDA since its inception in 1998. In addition to having joint responsibility for the MFDA’s investor outreach and Member education initiatives, Karen also oversees the MFDA’s Compliance, Financial Compliance and Membership Services departments. Compliance and Financial Compliance monitor the conduct of Members and Approved Persons to assess compliance with the MFDA’s financial and sales practice requirements. Membership Services is responsible for the MFDA’s communication function.
Karen has previously held positions in the Enforcement Branch at the Ontario Securities Commission and as a Manager in the Litigation, Valuation and Forensic Services department of a large international accounting firm.