New SRO Announces Investor Advisory Panel

Toronto – January 17, 2023 – The newly formed New Self-Regulation Organization of Canada (New SRO) today announced the creation of an Investor Advisory Panel (IAP), which will advise the New SRO on regulatory matters and issues of public interest.

Members of the New SRO IAP are:

• Dorothy Sanford, Chair
• Moshe A. Milevsky, Vice-Chair
• Kerry Baisley
• Heidi Conrad
• James Emmerton
• Cristie Ford
• Francois Lavallee
• Andrew Nicholson
• Enoch Omololu

A call for applications was made by MFDA and IIROC in October 2022 and the independent members of the New SRO Advisory Committee (comprised of members of the New SRO Board of Directors) selected the Panel in December 2022. In order to ensure broad and diverse representation, the IAP selection process included consideration of panelist’s backgrounds, experience, expertise, and geographic representation.

“We are pleased to have such an accomplished and qualified group of individuals join the Investor Advisory Panel,” said Andrew Kriegler, President and CEO, New SRO. “Their insights and guidance will be invaluable as we work to fulfill our mission of protecting investors.”

IAP Members have been appointed for a minimum term of two years and will meet regularly to advise the New SRO in the development of regulatory policy, annual priorities, strategic plans and other regulatory initiatives that protect investor interests and promote investor confidence in the securities marketplace.

“We look forward to working with the Investor Advisory Panel to ensure that the interest of investors are always at the forefront of our decision-making.” said Karen McGuinness, Senior Vice-President and executive responsible for the New SRO’s Office of the Investor.

Learn more about the IAP and read the bios of the IAP members.

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New Self-Regulatory Organization of Canada (New SRO) is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. New SRO is carrying on the regulatory functions of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, and is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments. For more information, visit www.newselfregulatoryorganizationofcanada.ca.