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MFDA 2019 Seniors Summit - Speakers

Mark GordonMark Gordon
President and CEO
Mutual Fund Dealers Association of Canada

Mark joined the Mutual Fund Dealers Association of Canada in November 1998. Prior to being appointed President & CEO, he was the Executive Vice-President and played a key leadership role in developing and building the MFDA into a national SRO with offices in Toronto, Calgary and Vancouver. Mark joined the MFDA from the Ontario Securities Commission where he had been Senior Legal Counsel with the Enforcement Branch. Prior to that he practiced corporate and securities law with a major national law firm. Mark’s extensive experience in securities law and regulatory enforcement includes a secondment in 1993 with the Broker Dealer Enforcement Division of the United States Securities and Exchange Commission in New York. Mark obtained a Bachelor of Laws degree from the University of Western Ontario and was called to the Ontario Bar in 1986. Mark graduated from the Directors Education Program offered by the Rotman School of Business and the Institute of Corporate Directors (ICD) in 2012 and holds an ICD.D designation.

Dr. Carole CohenDr. Carole A. Cohen
Geriatric Psychiatrist (Sunnybrook Health Sciences Centre)

Carole Cohen is a geriatric psychiatrist. She is a Professor in the Department of Psychiatry and Director of the Division of Geriatric Psychiatry at the University of Toronto. She is Clinical Director of the Community Psychiatric Services for the Elderly at Sunnybrook Health Sciences Centre. This inter-professional team provides assessment and management of seniors with mental health and substance use problems (including dementia) in their place of residence. Dr Cohen is a consultant to the Capacity Assessment Office of the Ministry of the Attorney General of Ontario. She teaches at the University of Toronto medical school and supervises psychiatry residents during their geriatrics rotation.

Lesley DuffyLesley Duffy
Chief Compliance Officer
Quadrus Investment Services Ltd.
AVP, Advisor Compliance
Canada Life

Lesley is the Chief Compliance Officer, Quadrus Investment Services Ltd. and Assistant Vice-President, Advisor Compliance, Canada Life. In this role, Lesley leads a team of 80 compliance professionals located across Canada – associated with the mutual fund dealer and our affiliated insurance companies. First line supervision and oversight is a core focus of Lesley’s team, and helping advisors successfully build and embed compliance protection around their practice is another important characteristic of this team. Lesley has over 30 years’ experience in the financial services industry and is a member of The Mutual Fund Dealers Association (MFDA) Policy Advisory Committee, the Federation of Mutual Fund Dealers Association and various other industry and regulatory committees.

Michael FinkeMichael Finke
Professor and Frank M. Engle Distinguished Chair in Economic Security
The American College of Financial Services

Michael Finke, Ph.D., CFP® is a Professor and Frank M. Engle Distinguished Chair in Economic Security at The American College of Financial Services. Dr. Finke served as the editor of the Journal of Personal Finance and is a contributing editor at Investment Advisor magazine. He received a doctorate in consumer economics from the Ohio State University in 1998 and in finance from the University of Missouri in 2011. He was named to the 2013 and 2014 Investment Advisor IA25 list and the 2012 Investment News Power 20, and received the Montgomery Warschauer best paper award from the Journal of Financial Planning in 2013 and 2014, and the CFP Board Center for Financial Planning Best Paper Award in investments in 2017.

Cheryl HamiltonCheryl Hamilton
Vice President Risk Management, Chief Compliance Officer
Hub Capital Inc. and Hub Financial Inc.

With a career that spans more than 30 years in the financial services industry, Cheryl’s extensive experience includes executive positions within the investment, deposit broker, financial planning and life insurance sectors. Her knowledge, expertise and leadership accomplishments span the various pillars of wealth management and include executive management, senior compliance, risk management and regulatory responsibilities with Hub Capital Inc., Desjardins Financial Security Investments Inc. and MGI Financial Inc., (MFDA Level 4 dealers), and Hub Financial Inc., one of Canada’s leaders in the distribution of individual and group life insurance products and services.

Cheryl holds the Certified Financial Planner (CFP) and Certified Professional Consultant on Aging (CPCA) designations and lends her expertise to a number of industry committees and associations. She currently serves as Chair of the MFDA Central Regional Council and is a Charter Member and Treasurer of the Association of Canadian Compliance Professionals (ACCP).

Lori SchockLori J. Schock
Office of Investor Education and Advocacy
U.S. Securities and Exchange Commission

Lori Schock has served since 2009 as the Director of the Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) —the Commission’s champion in providing America’s investors with the tools and information they need to make wise investment decisions and avoid fraud.

OIEA’s critical mission includes helping investors understand the operations of the securities markets and the federal securities laws and assisting investors in resolving issues with regulated entities. The office participates in investor outreach events throughout the country and responds to thousands of questions and complaints from individual investors each year.

Lori is a leading expert on investor protection issues and advises the Commission and its leadership on all matters involving retail investors. She is frequently sought after to lead seminars to regulators and market participants both domestically and internationally and conducts investor workshops across the United States. Lori has testified before Congress and is regularly quoted by the media on investor issues.

She received both her law and master’s of taxation degrees from the University of Akron and her bachelor’s degree from Furman University.

Danielle TetraultDanielle Tétrault
Vice-President, Compliance and Chief Compliance Officer
IG Wealth Management

Danielle Tétrault has worked at IG Wealth Management for 20 years, the majority of which has been spent in various leadership roles within the Compliance Department. In January 2019, she was appointed as Vice-President, Compliance and has acted as the Chief Compliance Officer of Investors Group Financial Services Inc. since December 2017. As part of her responsibilities in this role, Danielle leads the Seniors and Vulnerable Clients Working Group that reviews and monitors regulatory developments, industry trends and best practices to develop and implement policies, procedures, education and training resources to better serve and protect senior and vulnerable clients. She is a member of the Ontario Securities Commissions Seniors Expert Advisory Committee and the IFIC Vulnerable Investor Task Force.

Danielle is a graduate of the University of Manitoba with a Bachelor’s Degree in Commerce (Honours). She has completed numerous industry courses including the Certificate in Financial Planning, Canadian Securities Course (CSC), Conducts and Practices Handbook Course (CPH), Partners, Directors and Senior Officers Course (PDO) and Chief Compliance Officer Qualifying Examination.

Paige WaddenPaige Wadden
Chief Compliance Officer
Worldsource Financial Management and Worldsource Securities Inc.

Paige joined Guardian Capital Group in June 2010, assuming the role of Head of Compliance for Worldsource in August 2010.

Paige has developed a well-earned reputation for making compliance issues come alive in what she refers to as a “crazy industry.” Her passion for the financial services industry began over 15 years ago, commencing with her time at Fraser Milner Casgrain (now Dentons LLP), a Bay Street law firm, where she serviced the banking and investment industry, while focusing on financing, mergers and acquisitions. With this experience, Paige then assumed the role of counsel at a leading Canadian dealer and mutual fund company for five years. Following this, Paige joined BMW Canada as the head counsel of their financial services division, before returning to the investment industry when she joined Guardian.

Paige graduated from Osgoode Hall Law School.

James WronaJames S. Wrona
Vice President and Associate General Counsel
Financial Industry Regulatory Authority

James S. Wrona is Vice President and Associate General Counsel for the Financial Industry Regulatory Authority (FINRA) in Washington, DC. In this role, he is responsible for various policy initiatives, rule changes and litigation regarding the securities industry. Mr. Wrona formerly was associated with the law firm of K&L Gates LLP, where his practice focused on complex federal litigation. He also previously served as a federal law clerk for the Honorable A. Andrew Hauk of the United States District Court for the Central District of California (Los Angeles). Mr. Wrona is a frequent speaker at securities and litigation conferences and author of numerous law review articles, including The Best of Both Worlds: A Fact-Based Analysis of the Legal Obligations of Investment Advisers and Broker-Dealers and a Framework for Enhanced Investor Protection, 68 BUS. LAW. 1 (Nov. 2012); The Securities Industry and the Internet: A Suitable Match?, 2001 COLUM. BUS. L. REV. 601 (2001).

  • Matthew Brady Managing Director, Compliance (MFDA)
  • Ian Strulovitch Director, Public Affairs (MFDA)
  • Charles Toth Managing Director, Litigation (MFDA)