Regulatory reforms in the post-2008 crisis have created a "New Normal," impacting capital markets and other areas of the investment industry. The discussion will focus on regulatory changes in the industry over the past 7 years, as well as how to navigate the markets, manage risk, address cost and infrastructure challenges, provide transparency, and stay compliant in an increasingly regulated environment. Our panelists will provide their legal and practitioner perspectives how these regulatory changes have impacted day-to-day business.
Michelle Alexander, Vice President & Corporate Secretary, Investment Industry Association of Canada
Margaret Gunawan, Managing Director, General Counsel & Chief Compliance Officer, Blackrock Asset Management Canada Limited
Elizabeth Naumovski, Vice President of Marketing at Caldwell Securities Ltd., Host of Toronto Speaks: Personal Finance, Rogers Television.
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Investment Industry Association of Canada
Michelle Alexander is Vice President and Corporate Secretary with the Investment Industry Association of Canada (IIAC). Her areas of expertise include securities law, regulatory issues, analysis and impact of cross border issues, monitoring and analysis of industry developments, and representation of investment industry positions to securities commissions, self regulatory organizations and government.
An experienced public speaker and media spokesperson, Michelle actively advocates on behalf of the industry on matters relating to existing and new regulatory and legislative initiatives, with focus on retail sales issues and compliance.
Prior to the IIAC becoming a separate entity from the Investment Dealers Association of Canada (IDA) in 2006, Michelle was the Director of Regulatory Policy with the IDA. She also practiced law at Blake, Cassels & Graydon LLP as an Associate, Corporate Finance & Securities Regulation.
Michelle was called to the Ontario Bar in 1997 after having completed her Bachelor of Laws at Osgoode Hall Law School. She has also successfully completed the Canadian Securities Course and the Partners, Directors and Senior Officers Course.
BlackRock Asset Management Canada Limited
Margaret's service with the firm dates back to 2005, including her years with Barclays Global Investors (BGI), which merged with BlackRock in 2009. In her current role, Margaret is responsible for the day-to-day management and operations of the Canadian legal and compliance team, who provide advice and support to the business on a wide variety of legal and regulatory issues and projects. She has extensive experience in many aspects of investment management and investment funds work, including both public and private funds, and with securities, general corporate and tax law issues affecting securities registrants. As a member of the Canadian Executive Committee, Margaret also actively participates in setting and implementing business strategies and goals.
Margaret earned a BA degree from the University of Western Ontario and a graduate degree from the Osgoode Hall Law School. Prior to joining BlackRock, she was counsel at one of Canada's largest financial institutions and practiced as an associate at two major Toronto law firms.
Caldwell Securities Ltd.
Elizabeth Naumovski is Vice President of Marketing at Caldwell Securities Ltd. She has been at the firm since 1997 and is responsible for marketing, corporate communications and public relations. Elizabeth is also a fully licensed Investment Advisor at Caldwell.
Elizabeth also serves as Investor Relations for Urbana Corporation (TSX and CSE: URB, URB.A), a publicly traded company listed on the Toronto Stock Exchange and the Canadian Securities Exchange.
As of November 2015, Elizabeth is the host of Toronto Speaks: Personal Finance, an hour live call-in show, every other Monday from 9-10pm, on Rogers Television, Cable 10.