INDEX
Pages
BOARD OF DIRECTORS
1–4
NATIONAL ADVISORY COMMITTEE
5–6
DISTRICT COUNCILS
7 - 38
ASSOCIATION COMMITTEES
39 - 55
JOINT INDUSTRY COMMITTEES
56 - 60
SECURITIES INDUSTRY ADVISORY COUNCIL
60
CANADIAN SECURITIES INSTITUTE
60
CANADIAN DEPOSITORY FOR SECURITIES
60
FUNDSERV INC.
61
CANADIAN INVESTOR PROTECTION FUND
61
2
BOARD OF DIRECTORS 1998 – 1999
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Executive Committee
CHAIR
Kenneth A. SHIELDS
Chairman & Chief Executive Officer
Goepel McDermid Inc., Suite 1100, Pacific Centre, 701 West Georgia Street, P.O. Box 10111, Vancouver,
BC, V7Y 1C6
(604) 661-1750 Fax: (604) 661-1790
VICE-CHAIR
W. Reay MACKAY
President & Chief Operating Officer
RBC Dominion Securities Inc., 3rd Floor, Royal Bank Plaza, South Tower, P.O. Box 50, Toronto, ON, M5J
2W7
(416) 842-7500 Fax: (416) 842-7510
PRESIDENT
Joseph J. OLIVER
President & Chief Executive Officer
Investment Dealers Association of Canada, Suite 1600, 121 King Street West, Toronto, ON, M5H 3T9
(416) 865-3020 Fax: (416) 364-0753
Thomas I.A. ALLEN, Q.C.
Partner
Ogilvy Renault, Suite 2100, Royal Trust Tower, Toronto-Dominion Centre, P.O. Box 141, Toronto, ON,
M5K 1H1
(416) 216-3913 Fax: (416) 216-3930
David K. BEAZLEY
President & Director
Acadian Securities Incorporated, Suite 100, Pedway Level, Barrington Place, 1903 Barrington Street,
Halifax, NS, B3J 3L7
(902) 496-7586 Fax: (902) 496-7599
Luc BERTRAND
Chair, Montréal Exchange
c/o Deacon Capital Corporation, Bureau 750, 600, boulevard de Maisonneuve ouest, Montréal, PQ, H3A
3J2
(514) 499-2117 Fax: (514) 499-9627
3
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Lawrence S. BLOOMBERG
Chairman, President & Chief Executive Officer
First Marathon Securities Limited, Suite 3200, The Exchange Tower, 130 King Street West, P.O. Box 21,
Toronto, ON, M5X 1J9
(416) 869-6675 Fax: (416) 869-3056
Ian D. BRUCE
Vice-Chairman & Director
Peters & Co. Limited, Suite 2500, First Canadian Centre, 350 – 7th Avenue S.W., Calgary, AB, T2P 4N1
(403) 261-4850 Fax: (403) 266-4116
David A. GAUTHIER
Chair, National Advisory Committee
c/o RBC Dominion Securities Inc., Suite 602, 134 Kent Street, Charlottetown, PE, C1A 8R8
(902) 566-5544 Fax: (902) 566-1569
Michael G. GREENWOOD
President & Chief Operating Officer
Canaccord Capital Corporation, 2200 – 609 Granville Street, Vancouver, BC, V7Y 1H2
(604) 643-7300 Fax: (604) 643-7606
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Stanley HARTT
Chairman
Salomon Smith Barney Canada Inc., Suite 4600, BCE Place, 161 Bay Street, P.O. Box 631, Toronto, ON,
M5J 2S1
(416) 866-2300 Fax: (416) 866-7484
John L. HOWARD, Q.C.
2048 Penang Road, P.O. Box 1132, Sooke, BC, V0S 1N0
(250) 642-4489 Fax: (250) 642-1067
Barbara D. HUGHES, Q.C.
Chair
Evangeline Trust Company, 535 Albert Street, Windsor, NS, B0N 2T0
(902) 798-8327 Fax: (902) 798-3656
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Guy JOLICOEUR
Managing Director
CIBC Wood Gundy Securities Inc., Bureau 3050, 600, boulevard de Maisonneuve ouest, Montréal, PQ,
H3A 3J2
(514) 847-6388 Fax: (514) 847-6392
4
J. Christopher LAY
Vice-Chair, Vancouver Stock Exchange
c/o CIBC Wood Gundy Securities Inc., Suite 2100, 885 West Georgia Street, Vancouver, BC, V6C 3E8
(604) 687-2699 Fax: (604) 661-2370
Eugene C. McBURNEY
Managing Partner
Griffiths McBurney & Partners, 11th Floor, 145 King Street West, Toronto, ON, M5H 1J8
(416) 943-6101 Fax: (416) 943-6160
F. Gwyer MOORE
Chairman, President, Chief Executive Officer & Director
Deacon Capital Corporation, 9th Floor, 320 Bay Street, P.O. Box 3, Toronto, ON, M5H 4A6
(416) 350-3311 Fax: (416) 350-3323
G. Scott PATERSON
President & Director
Yorkton Securities Inc., Suite 3100, BCE Place, 181 Bay Street, P.O. Box 830, Toronto, ON, M5J 2T3
(416) 864-3600 Fax: (416) 864-9699
Alain RHÉAUME
Chief Financial Officer & Treasurer
Microcell Telecommunications Inc., Bureau 400, 1250, boulevard René-Lévesque ouest, Montréal, PQ,
H3B 4W8
(514) 937-2121 Fax: (514) 846-7445
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David A. RICHARDS
Chair, Financial Administrators Section
c/o RBC Dominion Securities Inc., 2nd Floor, Royal Bank Plaza, North Tower, 200 Bay Street, P.O. Box
50, Toronto, ON, M5J 2W7
(416) 842-7436 Fax: (416) 842-7400
William R. RIEDL
President & Chief Financial Officer
Fairvest Securities Corporation, Suite 1400, 67 Yonge Street, Toronto, ON, M5E 1J8
(416) 364-9000 Fax: (416) 364-6710
Guy SAVARD
Vice-Chairman & Director
Merrill Lynch Canada Inc., Bureau 3100, 1250, boulevard René-Lévesque ouest, Montréal, PQ, H3B 4W8
(514) 846-3595 Fax: (514) 846-3606
Harry G. SCHAEFER
President
Schaefer & Associates Ltd., Suite 1400, Canterra Tower, 400 – 3rd Avenue S.W., Calgary, AB, T2P 4H2
(403) 265-8185 Fax: (403) 269-5841
James G. SORENSON
Chair, The Alberta Stock Exchange
5
c/o Merrill Lynch Canada Inc., Suite 1700, Bow Valley Square IV, 250 – 6th Avenue S.W., Calgary, AB,
T2P 3H7
(403) 231-3355 Fax: (403) 231-3364
Barbara G. STYMIEST
Chair, The Toronto Stock Exchange
c/o Nesbitt Burns Inc., 1 First Canadian Place, P.O. Box 150, Toronto, ON, M5X 1H3
(416) 359-7340 Fax: (416) 359-4620
W. David WILSON
Chairman & Chief Executive Officer
ScotiaMcLeod Inc., 66th Floor, Scotia Plaza, 40 King Street West, P.O. Box 4085, Station “A”, Toronto,
ON, M5W 2X6
(416) 863-7411 Fax: (416) 863-7691
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Donald A. WRIGHT
Chairman & Chief Executive Officer
TD Securities Inc., 8th Floor, Toronto-Dominion Bank Tower, 55 King Street West, Toronto, ON, M5K
1A2
(416) 307-8735 Fax: (416) 944-5568
6
NATIONAL ADVISORY COMMITTEE
CHAIR
David A. GAUTHIER
PRINCE EDWARD ISLAND DISTRICT
RBC Dominion Securities Inc., Suite 602, 134 Kent Street, Charlottetown, PE, C1A 8R8
(902) 566-5544 Fax: (902) 566-1569
VICE-CHAIR
Mary E. JACOBS
NEW BRUNSWICK DISTRICT
Merrill Lynch Canada Inc., Suite 130, 77 Westmorland Street, Fredericton, NB, E3B 6Z3
(506) 458-8322 Fax: (506) 452-2135
T. Scott FOWLER
NOVA SCOTIA DISTRICT
Merrill Lynch Canada Inc., Suite 1801, 1969 Upper Water Street, P.O. Box 47, Purdy’s Wharf, Tower II,
Halifax, NS, B3J 3R7
(902) 420-8205 Fax: (902) 429-3948
Edward GRIFFITH
MANITOBA DISTRICT
ScotiaMcLeod Inc., Suite 501, 200 Portage Avenue, P.O. Box 105, Winnipeg, MB, R3C 3X2
(204) 946-9202 Fax: (204) 946-9236
Ward A. McMAHON
PACIFIC DISTRICT
Canaccord Capital Corporation, Suite 2200, 609 Granville Street, P.O. Box 10337, Vancouver, BC, V7Y
1H2
(604) 643-7300 Fax: (604) 688-0318
Claude MICHAUD
QUÉBEC DISTRICT
ScotiaMcLeod inc., 6e étage, Tour Scotia, 1002, rue Sherbrooke ouest, Montréal, PQ, H3A 3L6
(514) 287-3615 Fax: (514) 499-8454
Donald W. MILLIGAN
ALBERTA DISTRICT
nd
RBC Dominion Securities Inc., Suite 2300, 10155 - 102 Street, P.O. Box 14000, Edmonton, AB, T5J 2P4
(403) 944-8829 Fax: (403) 944-8878
C. Todd MONAGHAN
ONTARIO DISTRICT
First Associates Investments Inc., Suite 1700, 95 Wellington Street West, Toronto, ON, M5J 2N7
(416) 601-9135 Fax: (416) 601-9025
Robert REA
SASKATCHEWAN DISTRICT
RBC Dominion Securities Inc., 4th Floor, 2010 – 11th Avenue, Regina, SK, S4P 3M3
(306) 777-0500 Fax: (306) 757-2606
7
Terence L. STACK
NEWFOUNDLAND DISTRICT
Merrill Lynch Canada Inc., Suite 1003, Fortis Building, 139 Water Street, P.O. Box 1818, St. John’s,
NF, A1C 5R4
(709) 739-4552 Fax: (709) 739-4462
1998 NATIONAL DISTINCTION AWARD WINNER
J. Bruce TEMPLETON
RBC Dominion Securities Inc., Suite 803, Baine Johnston Centre, 10 Fort William Place, P.O. Box
1818, Station “C”, St. John’s, NF, A1C 5P9
(709) 576-4278 Fax: (709) 576-4507
VICE-PRESIDENT, GOVERNMENT AND MEMBER RELATIONS
Thomas G.A. DALZELL
Investment Dealers Association of Canada, Suite 1600, 121 King Street West, Toronto, ON, M5H 3T9
(416) 865-3039 Fax: (416) 364-0753
QUÉBEC REGIONAL DIRECTOR
Fernande LANOIX
Investment Dealers Association of Canada, Bureau 2802, 1, Place Ville Marie, Montréal, PQ, H3B 4R4
(514) 878-2854, ext. 222
Fax: (514) 878-3860
ONTARIO & ATLANTIC REGIONAL DIRECTOR
Morag MacGOUGAN
Investment Dealers Association of Canada, Suite 1600, 121 King Street West, Toronto, ON, M5H 3T9
(416) 943-6991 Fax: (416) 364-0753
PRAIRIE REGIONAL DIRECTOR
Terry W. MELLING
Investment Dealers Association of Canada, Suite 2300, 355 – 4th Avenue S.W., Calgary, AB, T2P 0J1
(403) 260-6278 Fax: (403) 265-4603
PACIFIC REGIONAL DIRECTOR
H. James STEVENS
Investment Dealers Association of Canada, Suite 1325, 650 West Georgia Street, Vancouver, BC, V6B 4N9
(604) 331-4750 Fax: (604) 683-3491
8
NEWFOUNDLAND DISTRICT COUNCIL
CHAIR
Terence L. STACK
Merrill Lynch Canada Inc., Suite 1003, Fortis Building, 139 Water Street, P.O. Box 1919, St. John’s,
A1C 5R4
(709) 739-4552 Fax: (709) 739-4462
E-mail: terry.stack@midwal.ca
VICE-CHAIR
Kevin BREEN
TD Evergreen/TD Securities Inc., Suite 1001, TD Place, 140 Water Street, St. John’s, A1C 6H6
(709) 758-5291 Fax: (709) 758-5299
E-mail: breenk@tdbank.ca
Ronald BEER
RBC Dominion Securities Inc., Suite 803, Baine Johnston Centre, 10 Fort William Place, P.O. Box
1818, Station “C”, St. John’s, A1C 5P9
(709) 576-4292 Fax: (709) 576-0464
E-mail: rbeer@rbcds.com
Tom COADY
RBC Dominion Securities Inc., Suite 803, Baine Johnston Centre, 10 Fort William Place, P.O. Box
1818, Station “C”, St. John’s, A1C 5P9
(709) 576-4597 Fax: (709) 576-0464
E-mail: tcoady@rbcds.com
Frederick G. DODD
CIBC Wood Gundy Securities Inc., 8th Floor, Atlantic Place, 215 Water Street, P.O. Box 77, St. John’s,
A1C 6C9
(709) 576-2711 Fax: (709) 754-5469
E-mail: dodd@cibc.ca
Thomas J.P. FORAN
Nesbitt Burns Inc., Suite 390, Cabot Place, Phase 1, 100 New Gower Street, St. John’s, A1C 6K3
(709) 738-0077 Fax: (709) 738-0831
E-mail: tom.foran@nbpcd.com
Roy J. HUSSEY
ScotiaMcLeod Inc., Suite M101, Scotia Centre, 235 Water Street, St. John’s, A1C 1B6
(709) 576-1339 Fax: (709) 754-2411
E-mail: roy_hussey@scotiamcleod.com
Sandy LEGGE
Merrill Lynch Canada Inc., Suite 1003, Fortis Building, 139 Water Street, P.O. Box 1919, St. John’s,
A1C 5R4
(709) 739-4552 Fax: (709) 739-4462
E-mail: sandy.legge@midwal.ca
Chris ROBINSON
Nesbitt Burns Inc., Suite 390, Cabot Place, Phase 1, 100 New Gower Street, St. John’s, A1C 6K3
(709) 738-0077 Fax: (709) 738-0831
E-mail: chris.robinson@nbpcd.com
L. Ray SMALLWOOD (ex-officio)
CIBC Wood Gundy Securities Inc., 8th Floor, Atlantic Place, 215 Water Street, P.O. Box 77, St. John’s,
A1C 6C9
(709) 576-2704 Fax: (709) 576-5469
E-mail: smallwood@cibc.ca
9
J. Bruce TEMPLETON
RBC Dominion Securities Inc., Suite 803, Baine Johnston Centre, 10 Fort William Place, P.O. Box
1818, Station “C”, St. John’s, A1C 5P9
(709) 576-4278 Fax: (709) 576-4507
Morag MacGOUGAN (ex-officio)
Investment Dealers Association of Canada, Suite 1600, 121 King Street West, Toronto, ON, M5H 3T9
(416) 943-6991 Fax: (416) 364-0753
Kenneth A. SHIELDS (ex-officio)
Goepel McDermid Inc., Suite 1100, Pacific Centre, 701 West Georgia Street, P.O. Box 10111, Vancouver,
BC, V7Y 1C6
(604) 661-1750Fax: (604) 661-1790
Joseph J. OLIVER (ex-officio)
Investment Dealers Association of Canada, Suite 1600, 121 King Street West, Toronto, ON, M5H 3T9
(416) 865-3020 Fax: (416) 364-0753
10
PRINCE EDWARD ISLAND DISTRICT COUNCIL
CHAIR
David A. GAUTHIER
RBC Dominion Securities Inc., Suite 602, 134 Kent Street, Charlottetown, C1A 8R8
(902) 566-5544 Fax: (902) 566-1569
E-mail: dgauthier@rbcds.com
VICE-CHAIR
Andrew MACLEAN
Nesbitt Burns Inc., 51 University Avenue, The Financial Building, Charlottetown, C1A 4K8
(902) 629-2027 Fax: (902) 628-6278
E-mail: andrew.mclean@nbpcd.com
Darren PETERS
Merrill Lynch Canada Inc., 55 Water Street, Charlottetown, C1A 1A3
(902) 892-4231 Fax: (902) 368-3964
E-mail: darren.peters@midwal.ca
Dale TURNER (ex-officio)
ScotiaMcLeod Inc., 187 Queen Street, P.O. Box 1540, Charlottetown, C1A 7N3
(902) 629-2563 Fax: (902) 368-8038
E-mail: dale_turner@scotiamcleod.com
Morag MacGOUGAN (ex-officio)
Investment Dealers Association of Canada, Suite 1600, 121 King Street West, Toronto, ON, M5H 3T9
(416) 943-6991 Fax: (416) 364-0753
Kenneth A. SHIELDS (ex-officio)
Goepel McDermid Inc., Suite 1100, Pacific Centre, 701 West Georgia Street, P.O. Box 10111, Vancouver,
BC, V7Y 1C6
(604) 661-1750Fax: (604) 661-1790
Joseph J. OLIVER (ex-officio)
Investment Dealers Association of Canada, Suite 1600, 121 King Street West, Toronto, ON, M5H 3T9
(416) 865-3020 Fax: (416) 364-0753
11
NOVA SCOTIA DISTRICT COUNCIL
CHAIR
T. Scott FOWLER
Merrill Lynch Canada Inc., Suite 1801, 1969 Upper Water Street, P.O. Box 47, Purdy’s Wharf, Tower II,
Halifax, B3J 3R7
(902) 420-8205 Fax: (902) 429-3948
E-mail: scott.fowler@midwal.ca
VICE-CHAIR
Gordon ANDERSON
CIBC Wood Gundy Securities Inc., Suite 701, 1601 Lower Water Street, Halifax, B3J 3P6
(902) 420-6211 Fax: (902) 423-3225
E-mail: andergor@cibc.ca
David K. BEAZLEY
Acadian Securities Incorporated, Suite 100, Pedway Level, Barrington Place, 1903 Barrington Street,
Halifax, B3J 3L7
(902) 496-7586 Fax: (902) 496-7599
E-mail: davidb@hfx.andara.com
Geoffrey A. BLACK
TD Securities Inc., Suite 1300, 1701 Hollis Street, Halifax, B3J 3M8
(902) 420-3218 Fax: (902) 420-3260
Bruce B. CARROLL
Ocean Securities Inc., Suite 1711, Purdy’s Wharf, Tower II, 1969 Upper Water Street,
P.O. Box 48, Halifax, B3J 3R7
(902) 423-1131 Fax: (902) 423-1178
E-mail: crafuse@istar.ca
John CHAPPELL
ScotiaMcLeod Inc., 5th Floor, 1709 Hollis Street, P.O. Box 2022, Station “M”, Halifax, B3J 2Z1
(902) 420-2220 Fax: (902) 422-6002
E-mail: john_chappell@scotiamcleod.com
Carole D. CUSHING
Nesbitt Burns Inc., 10th Floor, Bank of Montreal Tower, 5151 George Street, Halifax, B3J 1M5
(902) 496-1158 Fax: (902) 496-1185
E-mail: ccushing@nbpcd.ca
Lee HARWOOD
ScotiaMcLeod Inc., 5th Floor, 1709 Hollis Street, P.O. Box 2022, Station “M”, Halifax, B3J 2Z1
(902) 420-8715 Fax: (902) 422-6002
E-mail: lee_harwood@scotiamcleod.com
Eric HICKS
Lévesque Securities Inc., Suite 1601, 1969 Upper Water Street, Halifax, B3J 3R7
(902) 496-7735 Fax: (902) 496-7701
12
Edward C. KYNOCK
First Marathon Securities Limited, Suite 204, Purdy’s Wharf, Tower II, 1969 Upper Water Street, P.O. Box
27, Halifax, B3J 3R7
(902) 420-1449 Fax: (902) 429-6789
Thomas E.G. LYNCH
Lynch Investments Limited, Suite 200, 5525 Artillery Place, P.O. Box 3422 South, Halifax, B3J 3J1
(902) 420-1544 Fax: (902) 425-8542
Donald B. MORRIS
RBC Dominion Securities Inc., Suite 1101, Purdy’s Wharf, Tower II, 1969 Upper Water Street, Halifax,
B3J 3R7
(902) 424-1030 Fax: (902) 425-0608
E-mail: dmorris@rbcds.com
Donald R. MUNROE
CIBC Wood Gundy Securities Inc., Suite 701, 1601 Lower Water Street, Halifax, B3J 3P6
(902) 420-6208 Fax: (902) 423-3225
E-mail: munroed@cibc.ca
Robert A. PETERS
Levesque Securities Inc., Suite 1601, 1969 Upper Water Street, P.O. Box 668, Station “M”, Halifax, B3J
3R7
(902) 496-7711 Fax: (902) 496-7701
J. Thomas F. PURVES
RBC Dominion Securities Inc., Suite 100, Tower 1, 1959 Upper Water Street, Halifax, B3J 3N2
(902) 421-0124 Fax: (902) 423-7514
E-mail: tpurves@rbcds.com
Paul J.M. SCOTT
CIBC Wood Gundy Securities Inc., Suite 701, 1601 Lower Water Street, Halifax, B3J 3P6
(902) 420-6222 Fax: (902) 423-3225
E-mail: scottpa@cibc.ca
Lonsdale W. HOLLAND (ex-officio)
Beacon Securities Limited, 1707 Grafton Street, Halifax, B3J 2C6
(902) 423-1260 Fax: (902) 425-5237
Morag MacGOUGAN (ex-officio)
Investment Dealers Association of Canada, Suite 1600, 121 King Street West, Toronto, ON, M5H 3T9
(416) 943-6991 Fax: (416) 364-0753
Kenneth A. SHIELDS (ex-officio)
Goepel McDermid Inc., Suite 1100, Pacific Centre, 701 West Georgia Street, P.O. Box 10111, Vancouver,
BC, V7Y 1C6
(604) 661-1750Fax: (604) 661-1790
Joseph J. OLIVER (ex-officio)
Investment Dealers Association of Canada, Suite 1600, 121 King Street West, Toronto, ON, M5H 3T9
(416) 865-3020 Fax: (416) 364-0753
13
NEW BRUNSWICK DISTRICT COUNCIL
CHAIR
Mary E. JACOBS
Merrill Lynch Canada Inc., Suite 130, 77 Westmorland Street, Fredericton, E3B 6Z3
(506) 458-8322 Fax: (506) 452-2135
E-mail: mary.jacobs@midwal.ca
VICE-CHAIR
Terry V. RICHARDSON
ScotiaMcLeod Inc., Suite 1608, 1 Brunswick Square, P.O. Box 6277, Saint John, E2L 4R7
(506) 658-3202 Fax: (506) 636-6812
E-mail: terry_richardson@scotiamcleod.com
R. Michael BARDSLEY
Nesbitt Burns Inc., Suite 200, Regency Park, 65 Regent Street, P.O. Box 607, Station “A”, Fredericton,
E3B 5A6
(506) 458-8570 Fax: (506) 450-7193
E-mail: michael.bardsley@nbpcd.com
Stephen D. CAMPBELL
RBC Dominion Securities Inc., Suite 800, 44 Chipman Hill, Brunswick House, P.O. Box 6729, Saint John,
E3L 4S2
(506) 848-1332 Fax: (506) 848-1340
E-mail: stephen.campbell@rbcds.com
Dennis FLOOD
ScotiaMcLeod Inc., Suite N402, One Market Square, P.O. Box 6277, Station “A”, Saint John, E3L 4R7
(506) 658-3329 Fax: (506) 658-3315
E-mail: dennis_flood@scotiamcleod.com
Terry GAUTREAU
RBC Dominion Securities Inc., Suite 603, Blue Cross Centre, 644 Main Street, Moncton, E1C 1E2
(506) 869-5444 Fax: (506) 869-5454
E-mail: tgautre@rbcds.com
Thomas J. GRIBBONS
RBC Dominion Securities Inc., 8th Floor, 44 Chipman Hill, Saint John, E2L 2A9
(506) 637-7501 Fax: (506) 637-7575
E-mail: tgribbo@rbcds.com
Timothy LACKIE
CIBC Wood Gundy Securities Inc., Suite 500, 44 Chipman Hill, Saint John, E2L 2A9
(506) 634-1220 Fax: (506) 634-8214
E-mail: lackie@cibc.ca
Normand LANDRY (ex-officio)
Lévesque Beaubien Geoffrion Inc., Suite 300, 735 Main Street, Moncton, E1C 1E5
(506) 859-0854 Fax: (506) 857-0531
14
Morag MacGOUGAN (ex-officio)
Investment Dealers Association of Canada, Suite 1600, 121 King Street West, Toronto, ON, M5H 3T9
(416) 943-6991 Fax: (416) 364-0753
Kenneth A. SHIELDS (ex-officio)
Goepel McDermid Inc., Suite 1100, Pacific Centre, 701 West Georgia Street, P.O. Box 10111, Vancouver,
BC, V7Y 1C6
(604) 661-1750Fax: (604) 661-1790
Joseph J. OLIVER (ex-officio)
Investment Dealers Association of Canada, Suite 1600, 121 King Street West, Toronto, ON, M5H 3T9
(416) 865-3020 Fax: (416) 364-0753
15
QUÉBEC DISTRICT COUNCIL
CHAIR
Claude MICHAUD
ScotiaMcLeod inc., 6e étage, 1002, rue Sherbrooke ouest, Tour Scotia, Montréal, H3A 3L6
(514) 287-3615 Fax: (514) 499-8454
VICE-CHAIR
Michel DUCHESNE
RBC Dominion valeurs mobilières inc., Bureau 300, 1, Place Ville-Marie, Montréal, H3B 4R8
(514) 878-7710 Fax: (514) 878-7715
Thomas G. AIKEN
MacDougall, MacDougall & MacTier inc., bureau 2000, Place du Canada, 1010 de la Gauchetiére ouest,
Montréal, H3B 4J1
(514) 394-3099 Fax: (514) 871-1481
Francine ALLAIRE
Valeurs mobilières Desjardins inc., Tour l’est, 15e étage, 2 Desjardins Complex, C.P. 394, Montréal, H5B
1J2
(514) 281-7371 Fax: (514) 842-3137
Christopher BRIÈRE
Lévesque Beaubien Geoffrion Inc., 5e étage, 1155, rue Metcalfe, Montréal, H3A 4S9
(514) 879-2458 Fax: (514) 879-5135
Lise CASGRAIN
Casgrain & Compagnie limitée, Bureau 1625, 500, boulevard René-Lévesque ouest, Montréal, H2Z 1W7
(514) 871-8080 Fax: (514) 871-1943
Guy L. JOLICOEUR
CIBC Wood Gundy valeurs mobilières inc., Bureau 3050, 600, boulevard de Maisonneuve ouest, Montréal,
H3A 3J2
(514) 847-6388 Fax: (514) 847-6392
Serge LECLAIRE
ScotiaMcLeod inc., 6e étage, Tour Scotia, 1002, rue Sherbrooke ouest, Montréal, H3A 3L6
(514) 287-3666 Fax: (514) 287-3654
Jacques LEMAY
Lévesque Beaubien Geoffrion inc., 5e étage, Édifice Sunlife, 1155, rue Metcalfe, Montréal, H3B 4S9
(514) 879-5336 Fax: (514) 879-5142
Benoît MARCOTTE
Lévesque Beaubien Geoffrion inc., 5e étage, Édifice Sunlife, 1155, rue Metcalfe, Montréal, H3B 4S9
(514) 879-2282 Fax: (514) 879-5321
Yvan NAUD
Compensation BNC incorporée, 5e étage, Édifice Sunlife, 1155, rue Metcalfe, Montréal,
16
H3B 4S9
(514) 879-2412 Fax: (514) 879-2520
Gilles OUIMET
Merrill Lynch Canada inc., bureau 3100, 1250, boulevard René-Lévesque, Montréal, H3B 4W8
(514) 846-3603 Fax: (514) 846-3551
Jean-Claude PARADIS
Leduc & Associés Valeurs mobilières Canada ltée, bureau 2300, 2020, University, Montréal, H3A 2A5
(514) 499-1068 Fax: (514) 499-1071
Denise PÉLOQUIN
ScotiaMcLeod inc., 6e étage, 1002, rue Sherbrooke ouest, Montréal, H3A 3L5
(514) 287-3635 Fax: (514) 287-3689
Bernard PICHÉ
BLC Valeurs mobilières inc., Bureau 1900, 1981, avenue McGill Collège, Montréal, H3A 3K3
(514) 284-6932 Fax: (514) 350-2894
Gérard J. TAILLON
Nesbitt Burns ltée, Bureau 3200, 1501, avenue McGill Collège, Montréal, H3A 3M8
(514) 286-7215 Fax: (514) 286-7262
Raymond TRUDEAU
Tassé & Associés, limitée, bureau 1200, Maison Trust Royal, 630, boulevard René-Lévesque ouest,
Montréal, H3B 1S6
(514) 879-2165 Fax: (514) 874-4090
François VEILLET
CIBC Wood Gundy valeurs mobilières inc., Bureau 3050, 600, boulevard de Maisonneuve ouest, Montréal,
H3A 3J2
(514) 847-6413 Fax: (514) 847-6427
Jean MORIN (ex-officio)
Merrill Lynch Capital inc., Bureau 800, 2540, boulevard Daniel-Johnson, Laval, PQ, H7T 2S3
(514) 688-5714 Fax: (514) 688-1514
Fernande LANOIX (ex-officio)
Investment Dealers Association of Canada, Bureau 2802, 1, Place Ville Marie, Montréal, PQ, H3B 4R4
(514) 878-2854, ext. 222
Fax: (514) 878-3860
Kenneth A. SHIELDS (ex-officio)
Goepel McDermid Inc., Suite 1100, Pacific Centre, 701 West Georgia Street, P.O. Box 10111, Vancouver,
BC, V7Y 1C6
(604) 661-1750Fax: (604) 661-1790
Joseph J. OLIVER (ex-officio)
Investment Dealers Association of Canada, Suite 1600, 121 King Street West, Toronto, ON, M5H 3T9
(416) 865-3020 Fax: (416) 364-0753
17
18
QUEBEC DISTRICT COMMITTEES
1998 – 1999
MEMBERSHIP COMMITTEE
Serge Leclaire (Chair)
Benoît Carignan
Lise Casgrain
Guylaine Couture
Michel Falk
Jacques M. Gagnon
Benoît Marcotte
Bernard Piché
Gérard J. Taillon
Claude Michaud (ex-officio)
ScotiaMcLeod inc.
Valeurs mobilières Desjardins inc.
Casgrain & Compagnie limitée
Valeurs Mobilières Courvie inc.
Lévesque Beaubien Geoffrion inc.
Gestion Fonds des professionnels inc.
Lévesque Beaubien Geoffrion inc.
BLC Valeurs mobilières inc.
Nesbitt Burns ltée
ScotiaMcLeod inc.
INVESTMENT ADVISORS COMMITTEE
Denise Péloquin (Chair)
Christopher Brière
Guy Côté
Denis Charbonneau
Guylaine Couture
André Ewert
Richard Gagnon
Alain Goyer
Monique Clermont Gravel
Caroline Hild
Lily Labelle
Sylvie Leroux
Éric Leveillé
Carlo Massicolli
Annie Phaneuf
Marc-André Plourde
Martin Roy
François Têtu
Fabrice Vinet
Sam Zacchia
Claude Michaud (ex-officio)
ScotiaMcLeod inc.
Lévesque Beaubien Geoffrion inc.
Valeurs mobilières Desjardins inc.
Services Investisseurs CIBC inc.
Valeurs Mobilières Courvie inc.
Whalen, Béliveau & Associés inc.
BLC Valeurs mobilières inc.
Tassé & Associés, Limitée
Lévesque Beaubien Geoffrion inc.
ScotiaMcLeod inc.
Lévesque Beaubien Geoffrion inc.
Whalen, Béliveau & Associés inc.
Pictet Canada, Société en commandite
Lévesque Beaubien Geoffrion inc.
Nesbitt Burns ltée
MacDougall, MacDougall & MacTier inc.
ScotiaMcLeod inc.
Valeurs mobilières Desjardins inc.
Valeurs mobilières Desjardins inc.
Leduc & Associés Valeurs mobilières (Canada) Ltée
ScotiaMcLeod inc.
19
TAX REVIEW COMMITTEE
Jacques Lemay (Chair)
Jean-François Bernier
Denis Cyr
Éric Désormeaux
Claude Désy
Richard Dufresne
Pierre Fleurent
Louis Lu
Jean Royer
Raymond Trudeau
Claude Michaud (ex-officio)
Lévesque Beaubien Geoffrion inc.
Nesbitt Burns ltée
Tassé & Associés, Limitée
Valeurs mobilières Desjardins inc.
Merrill Lynch Canada Inc.
Nesbitt Burns ltée
RBC Dominion valeurs mobilières inc.
Alpha Capital inc.
ScotiaMcLeod inc.
Tassé & Associés, Limitée
ScotiaMcLeod inc.
PUBLIC CURATOR’S ACT COMMITTEE
Guy L. Jolicoeur (Chair)
Jean-François Bernier
Céline Gauthier
Luc LaRochelle, Counsel
Yvan Naud
Réal St-Jean
Gérard J. Taillon
Claude Michaud (ex-officio)
CIBC Wood Gundy valeurs mobilières inc.
Nesbitt Burns ltée
RBC Dominion valeurs mobilières inc.
McMaster Gervais
Compensation BNC incorporée
ScotiaMcLeod inc.
Nesbitt Burns ltée
ScotiaMcLeod inc.
BONDS AND MONEY MARKETS COMMITTEE
Lise Casgrain (Chair)
Pierre Boissé
Yoland Cadieux
Jean Comolli
Guylaine Couture
Gilbert Croteau
Pierre Désy
Luc Fortin
Richard Quesnel
Gabriel Lancry
André Langelier
Jean Lavoie
Steven Shelton
François Veillet
Claude Michaud (ex-officio)
Casgrain & Compagnie limitée
Merrill Lynch Canada Inc.
RBC Dominion valeurs mobilières inc.
ScotiaMcLeod inc.
Valeurs Mobilières Courvie inc.
Lévesque Beaubien Geoffrion inc.
Nesbitt Burns ltée
TD Valeurs Mobilières inc.
Tassé & Associes, Limitée
BLC Valeurs mobilières inc.
Valeurs mobilières Desjardins inc.
Placements Banque Nationale inc.
Goldman Sachs Canada
CIBC Wood Gundy valeurs mobilières inc.
ScotiaMcLeod inc.
20
INTERNAL OPERATIONS COMMITTEE
Yvan Naud (Chair)
Glenn Abbott
Chantal Bélanger
Claude Clancy
Céline Gauthier
Claude Guimont
Andrée Ouellet
Lucy Rossi
Jesus Sanchez
Réal St-Jean
Ginette Turenne
André Zanga
Claude Michaud (ex-officio)
Compensation BNC incorporée
Nesbitt Burns ltée
Valeurs Mobilières Courvie inc.
Tassé & Associés, Limitée
RBC Dominion valeurs mobilières inc.
MCA Valeurs Mobilières inc.
BLC Valeurs mobilières inc.
Merrill Lynch Canada Inc.
Lévesque Beaubien Geoffrion inc.
ScotiaMcLeod inc.
Valeurs mobilières Desjardins inc.
Casgrain & Compagnie Limitée
ScotiaMcLeod inc.
SMALL AND MEDIUM SIZED INVESTMENT FIRMS COMMITTEE
Raymond Trudeau (Chair)
Lise Casgrain
Michel Cousineau
Maurice Daigneault
François Demers
Lise Douville
Réjean Duguay
James Gurgurewicz
Jean-Claude Paradis
Denis Régimbald
Pierre Saint-Aubin
Héloïse Tassé
Claude Michaud (ex-officio)
Tassé & Associés, Limitée
Casgrain & Compagnie Limitée
MCA Valeurs Mobilières inc.
Valeurs mobilières Investpro inc.
Demers Conseil inc.
Valeurs mobilières Dubeau ltée
Valeurs Mobilières Courvie inc.
Renaissance Capital inc.
Leduc & Associés Valeurs mobilières Canada Ltée
Valeurs mobilières Investpro inc.
Maxima Capital inc.
Tassé & Associés, Limitée
ScotiaMcLeod inc.
21
REGULATION AND MONTRÉAL EXCHANGE AND QSC LIAISON COMMITTEE
Gérard J. Taillon (Chair)
Gilles Beauregard
Frédéric Bélanger
Jean-François Bernier
Paul Billette
Pierre Charbonneau
Réjean Duguay
Gabriel Lancry
Me Luc LaRochelle, Counsel
Danielle Le May
Héloïse Tassé
Claude Michaud (ex-officio)
Nesbitt Burns ltée
MCA Valeurs Mobilières inc.
Gestion Fonds des professionels inc.
Nesbitt Burns ltée
Leduc & Associés Valeurs mobilières (Canada) Ltée
Valeurs mobilières Desjardins inc.
Valeurs Mobilières Courvie inc.
BLC Valeurs mobilières inc.
McMaster Gervais
Lévesque Beaubien Geoffrion inc.
Tassé & Associés, Limitée
ScotiaMcLeod inc.
22
ONTARIO DISTRICT COUNCIL
CHAIR
C. Todd MONAGHAN
First Associates Investments Inc., Suite 1700, 95 Wellington Street West, Toronto, M5J 2N7
(416) 601-9135 Fax: (416) 601-9025
E-mail: tmonaghan@firstassociates.com
VICE-CHAIR
Brigitte J. GEISLER
Canada Trust, 35th Floor, Canada Trust Tower, 161 Bay Street, Toronto M5J 2T2
(416) 681-2386 Fax: (416) 361-5465
E-mail: geisler.brigitte@canadatrust.com
William R.J. FULTON, ex officio
Merrill Lynch Canada Inc., 11th Floor, 22 Front Street West, Toronto, M5J 2W5
(416) 681-4300 Fax: (416) 681-4316
E-mail: bill.fulton@midwal.ca
Craig JARVIS
ScotiaMcLeod Inc., Suite 2000, Yonge-Eglinton Centre, 2300 Yonge Street, P.O. Box 2470, Toronto, M4P
1E4
(416) 487-4502 Fax: (416) 487-5893
E-mail: craig_jarvis@scotiamcleod.com
Laura LINDSAY
TD Securities Inc., 7th Floor, Ernst & Young Tower, 222 Bay Street, Toronto, M5K 1A2
(416) 982-8707 Fax: (416) 982-4184
E-mail: lindsl2@tdsecurities.com
David SANTINA
Goldman Sachs Canada, Suite 1201, 150 King Street West, Toronto, M5H 1J9
(416) 343-8877 Fax: (416) 593-8506
E-mail: dsantina@gs.com
Bruce S. SCHWENGER
Bank of Montreal Investor Services Limited, 20th Floor, First Canadian Place, 100 King Street West,
Toronto, M5X 1A1
(416) 594-5858 Fax: (416) 956-2394
E-mail: bruce.schwenger@bmo.com
Neil M. SELFE
RBC Dominion Securities Inc., 4th Floor, Royal Bank Plaza, South Tower, 200 Bay Street, P.O. Box 50,
Toronto, M5J 2W7
(416) 842-7635 Fax: (416) 842-7555
E-mail: nselfe@rbcds.com
Heather STEWART
CIBC World Markets, BCE Place, 161 Bay Street, P.O. Box 500, Toronto, M5J 2S8
(416) 594-8228 Fax: (416) 594-8139
E-mail: stewarth@cibc.ca
23
Sandra L. SCHUMACHER (ex-officio)
ScotiaMcLeod Inc., 66th Floor, Scotia Plaza, 40 King Street West, Station “A”, P.O. Box 4085, Toronto,
M5W 2X6
(416) 863-7490 Fax: (416) 862-3037
E-mail: sandra_schumacher@scotiamarkets.com
Morag MacGOUGAN (ex-officio)
Investment Dealers Association of Canada, Suite 1600, 121 King Street West, Toronto, ON, M5H 3T9
(416) 943-6991 Fax: (416) 364-0753
Kenneth A. SHIELDS (ex-officio)
Goepel McDermid Inc., Suite 1100, Pacific Centre, 701 West Georgia Street, P.O. Box 10111, Vancouver,
BC, V7Y 1C6
(604) 661-1750Fax: (604) 661-1790
Joseph J. OLIVER (ex-officio)
Investment Dealers Association of Canada, Suite 1600, 121 King Street West, Toronto, ON, M5H 3T9
(416) 865-3020 Fax: (416) 364-0753
CITY CHAIRS
Brian W. DUNN (ex officio, non-voting)
Nesbitt Burns Inc., Suite 1900, 255 Queens Avenue, London, N6A 5R8
(519) 646-2350 Fax: (519) 679-8848
E-mail: briandunn@nbpcd.com
Edward E. POPOVICH (ex-officio, non-voting)
Nesbitt Burns Inc., Suite 1100, 100 Ouellette Avenue, Windsor, N9A 6T3
(519) 258-1799 Fax (519) 256-3093
E-mail: eli.popovich@nbpcd.com
24
ONTARIO DISTRICT COMMITTEES
1998 - 1999
Membership Sub-Committee
Sandra L. Schumacher, Chair
Bruce S. Schwenger
Heather Stewart
ScotiaMcLeod Inc.
Bank of Montreal Investor Services Limited
CIBC World Markets
Registration Sub-Committee
Brigitte J. Geisler, Chair
Morag MacGougan
David Santina
Canada Trust
Investment Dealers Association of Canada
Goldman Sachs Canada
25
MANITOBA DISTRICT COUNCIL
CHAIR
Edward GRIFFITH
ScotiaMcLeod Inc., Suite 501, 200 Portage Avenue, P.O. Box 105, Winnipeg, R3C 3X2
(204) 946-9202 Fax: (204) 946-9236
VICE-CHAIR
Gregory T. BIEBER
Bieber Securities Inc., Suite 801, 400 St. Mary Avenue, Winnipeg, R3C 4K5
(204) 946-0297 Fax: (204) 956-0747
Leigh CUNNINGHAM
RBC Dominion Securities Inc., 9th Floor, 360 Main Street, Winnipeg, R3C 3Z3
(204) 982-2647 Fax: (204) 982-2743
Alan S. DUNNETT
RBC Dominion Securities Inc., 8th Floor, P.O. Box 747, One Lombard Place, Winnipeg, R3B 0Y2
(204) 982-3456 Fax: (204) 982-3460
Craig HARRISON
Credential Securities Inc., 215 Garry Street, Winnipeg, R3C 3E2
(204) 985-4936 Fax: (204) 985-4946
Robert HUCAL (Public Director)
Monk Goodwin, #800, 444 St. Mary Avenue, Winnipeg, R3C 3T1
(204) 956-1060 Fax: (204) 957-0423
Kelly JACOB
TD Securities Inc./Greenline, Suite 1617, 201 Portage Avenue, Winnipeg, R3C 3E7
(204) 988-2255 Fax: (204) 943-2094
Francis B. LAMONT (Public Director)
47 Harvard Avenue, Winnipeg, R3M 0J6
(204) 452-3618 Fax: (204) 452-3731
Douglas MATHESON
RBC Dominion Securities Inc., Suite 900, 360 Main Street, Winnipeg, R3C 2G9
(204) 982-2600 Fax: (204) 947-9540
E. Alan McLAUGHLIN
RBC Dominion Securities Inc., Suite 1303, 220 Portage Avenue, Winnipeg, R3C 3A6
(204) 982-2638 Fax: (204) 947-5213
Renée DeMeyer MESMAN
Investors Group Securities Inc., 2nd Floor, One Canada Centre, 447 Portage Avenue, Winnipeg, R3C 3B6
(204) 956-8134 Fax: (204) 944-8985
Colin RYAN
26
Nesbitt Burns Inc., Suite 1300, Commodity Exchange Tower, 360 Main Street, Winnipeg, R3C 3Z3
(204) 949-8034 Fax: (204) 944-8028
Mark SCHIEFNER
Merrill Lynch Canada Inc., Suite 3003, 201 Portage Avenue, Winnipeg, R3B 3K6
(204) 946-9866 Fax: (204) 943-2350
Harvey R.G. SCRIVENER
RBC Dominion Securities Inc., 1303 – 220 Portage Avenue, Winnipeg, R3C 3A6
(204) 982-2610 Fax: (204) 947-5213
Walter N. SILICZ
Wellington West Capital Inc., Suite 3106, 201 Portage Avenue, Winnipeg, R3B 3K6
(204) 925-2256 Fax: (204) 942-6194
Robert VANDEWATER
CIBC Wood Gundy Securities Inc., Suite 2600, 360 Main Street, Winnipeg, R3C 3Z3
(204) 958-4354 Fax: (204) 958-4361
Gordon J. WIMBLE
CIBC Wood Gundy Securities Inc., Suite 2600, 360 Main Street, Winnipeg, R3C 3Z3
(204) 958-4350 Fax: (204) 958-4361
Richard L. YAFFE (Public Director)
Atkins, McAuley & Thorvaldson, 30th Floor, 360 Main Street, Winnipeg, R3C 4G1
(204) 957-4670 Fax: (204) 957-0840
Thomas D.A. WAITT (ex-officio)
Nesbitt Burns Inc., Suite 1300, Commodity Exchange Tower, 360 Main Street, Winnipeg, R3C 3Z3
(204) 949-8000 Fax: (204) 949-8788
Terry W. MELLING (ex-officio)
Investment Dealers Association of Canada, Suite 2300, 355 Fourth Avenue S.W., Calgary, AB, T2P 0J1
(403) 260-6278 Fax: (403) 265-4603
27
Kenneth A. SHIELDS (ex-officio)
Goepel McDermid Inc., Suite 1100, Pacific Centre, 701 West Georgia Street, P.O. Box 10111, Vancouver,
BC, V7Y 1C6
(604) 661-1750Fax: (604) 661-1790
Joseph J. OLIVER (ex-officio)
Investment Dealers Association of Canada, Suite 1600, 121 King Street West, Toronto, ON, M5H 3T9
(416) 865-3020 Fax: (416) 364-0753
28
MANITOBA DISTRICT COMMITTEES
1998 – 1999
ARBITRATION
E. Alan McLaughlin (Chair)
Edward Griffith
Kelly Jacob
RBC Dominion Securities Inc.
ScotiaMcLeod Inc.
TD Securities Inc.
DISTINCTION
Leigh Cunningham (Chair)
E. Alan McLaughlin
Mark Schiefner
Douglas Matheson
RBC Dominion Securities Inc.
RBC Dominion Securities Inc.
Merrill Lynch Canada Inc.
RBC Dominion Securities Inc.
GOVERNMENT LIAISON
Edward Griffith (Chair)
Thomas D.A. Waitt
Robert Vandewater
ScotiaMcLeod Inc.
Nesbitt Burns Inc.
CIBC Wood Gundy Securities Inc.
MEMBER & PUBLIC RELATIONS
Mark Schiefner (Chair)
Craig Harrison
Gordon J. Wimble
Merrill Lynch Canada Inc.
Credential Securities Inc.
CIBC Wood Gundy Securities Inc.
REGISTRATION
Gregory T. Bieber (Chair)
Harvey R.G. Scrivener
Walter N. Silicz
Bieber Securities Inc.
RBC Dominion Securities Inc.
Wellington West Capital Inc.
EDUCATION
Walter N. Silicz (Chair)
Renée DeMyer Mesman
Alan S. Dunnett
Colin Ryan
Wellington West Capital Inc.
Investors Group Securities Inc.
RBC Dominion Securities Inc.
Nesbitt Burns Inc.
29
SASKATCHEWAN DISTRICT COUNCIL
CHAIR
Robert REA
RBC Dominion Securities Inc., 4th Floor, 2010 – 11th Avenue, Regina, S4P 3M3
(306) 777-0500 Fax: (306) 757-2606
VICE-CHAIR
Frederick H. SMITH
Matrix Financial Corporation, Suite 320, 728 Spadina Crescent East, Saskatoon, S7K 4H7
(306) 664-7400 Fax: (306) 244-1145
Steve ALPORT
Nesbitt Burns Inc., Suite 1171, 2103 – 11th Avenue, Regina, S4P 3Z8
(306) 780-9715 Fax: (306) 780-9744
Delbert BEICH
ScotiaMcLeod Inc., Suite 700, Scotia Centre, 1783 Hamilton Street, Regina, S4P 2B6
(306) 352-5005 Fax: (306) 525-3273
Cheryl DOUGAN
ScotiaMcLeod Inc., Suite 700, 410 – 22nd Street East, Saskatoon, S7K 5T6
(306) 665-5318 Fax: (306) 244-2451
Brad ENS
Merrill Lynch Canada Inc., Suite 220, 128 – 4th Avenue South, Saskatoon, S7K 1M8
(306) 653-1900 Fax: (306) 664-1143
Daniel ISH (Public Director)
Professor of Law, University of Saskatchewan, Saskatoon
(306) 966-5887
Ron E.D. LUSTIG
CIBC Wood Gundy Securities Inc., Suite 420, 1801 Hamilton Street, Regina, S4P 4B4
(306) 359-1577 Fax: (306) 569-8616
Susan P. MILBURN
RBC Dominion Securities Inc., Suite 1070, 410 – 22nd Street East, P.O. Box 1908, Saskatoon, S7K 3S5
(306) 956-5200 Fax: (306) 956-5252
James TURNER
TD Securities Inc., Suite 1280, 1874 Scarth Street, Regina, S4P 4B3
(306) 780-5200 Fax: (306) 780-0299
Garrett WILSON (Public Director)
Wilson, Rasmussen, 2237 Smith Street, Regina, S4P 2J6
(306) 352-1641 Fax: (306) 525-8884
John W.H. GREEN (ex-officio)
30
CIBC Wood Gundy Securities Inc., Suite 500, 119 Fourth Avenue South, Saskatoon, S7K 5X2
(306) 975-3800 Fax: (306) 975-3832
Terry W. MELLING (ex-officio)
Investment Dealers Association of Canada, Suite 2300, 355 Fourth Avenue S.W., Calgary, AB, T2P 0J1
(403) 260-6278 Fax: (403) 265-4603
Kenneth A. SHIELDS (ex-officio)
Goepel McDermid Inc., Suite 1100, Pacific Centre, 701 West Georgia Street, P.O. Box 10111, Vancouver,
BC, V7Y 1C6
(604) 661-1750Fax: (604) 661-1790
Joseph J. OLIVER (ex-officio)
Investment Dealers Association of Canada, Suite 1600, 121 King Street West, Toronto, ON, M5H 3T9
(416) 865-3020 Fax: (416) 364-0753
31
SASKATCHEWAN DISTRICT COMMITTEES
1998 – 1999
GOVERNMENT LIAISON
Bob Rea (Chair)
Frederick H. Smith
Steve Alport
RBC Dominion Securities Inc.
Matrix Financial Corporation
Nesbitt Burns Inc.
MEMBER & PUBLIC RELATIONS
Steve Alport (Chair)
James Turner
Bob Rea
Nesbitt Burns Inc.
TD Securities Inc.
RBC Dominion Securities Inc.
REGISTRATIONS
Ron E.D. Lustig (Chair)
Delbert Beich
Bob Rea
CIBC Wood Gundy Securities Inc.
ScotiaMcLeod Inc.
RBC Dominion Securities Inc.
DISTINCTION
Cheryl Dougan (Chair)
TBA
TBA
ScotiaMcLeod Inc.
32
ALBERTA DISTRICT COUNCIL
CHAIR
Donald W. MILLIGAN
RBC Dominion Securities Inc., Suite 2300, 10155 - 102nd Street, P.O. Box 14000, Edmonton, T5J 2P4
(403) 944-8829 Fax: (403) 944-8878
VICE-CHAIR
Gary E. PERRON
Nesbitt Burns Inc., Suite 1600, Esso Plaza, 425 – 1st Street S.W., Calgary, T2P 3L8
(403) 261-9550 Fax: (403) 261-9574
Wiley D. AUCH
FirstEnergy Capital Corp., Suite 1600, 333 – 7th Avenue S.W., Calgary, T2P 2Z1
(403) 262-0600 Fax: (403) 262-0644
Martin DAVIES
Peters & Co. Limited, Suite 2500, First Canadian Centre, 350 – 7th Avenue S.W., Calgary, T2P 4N1
(403) 261-4850 Fax: (403) 266-4116
Frederick T. DUNN
Merrill Lynch Canada Inc., Suite 2300, Midland Walwyn Tower, Edmonton Centre, Edmonton, T5J 2Z2
(403) 492-1100 Fax: (403) 498-5050
Kathleen B. JOST
Bank of Montreal Investor Services Limited, 7th Floor, 350 – 7th Avenue S.W., Calgary, T2P 3N9
(403) 262-7000 Fax: (403) 234-1828
James G. MacDONALD
HSBC James Capel Canada Inc., Suite 2100, Toronto-Dominion Tower, Edmonton Centre, Edmonton, T5J
2Z1
(403) 421-4455 Fax: (403) 425-8692
Drew MacINTYRE
Nesbitt Burns Inc., Suite 1400, 421 – 7th Avenue S.W., Calgary, T2P 4K9
(403) 515-1500 Fax: (403) 515-1535
J. Roderick MATHESON
Canaccord Capital Corporation, #400, 409 – 8th Avenue S.W., Calgary, T2P 1E3
(403) 508-3800 Fax: (403) 508-3823
Daniel W. MATWIE
Goepel McDermid Inc., Suite 2300, Scotia Place, 10060 Jasper Avenue, Edmonton, T5J 3R8
(403) 414-2500 Fax: (403) 414-2599
Gordon A. PATERSON
RBC Dominion Securities Inc., Suite 1600, 421 – 7th Avenue S.W., Calgary, T2P 4K9
(403) 266-9600 Fax: (403) 266-9686
33
J. Victor ROGERS
Rogers & Partners Securities Inc., Suite 2300, First Alberta Place, 777 – 8th Avenue S.W., Calgary, T2P
3P5
(403) 531-6800 Fax: (403) 265-6039
David SALLOUM
RBC Dominion Securities Inc., Suite 2400, Oxford Tower, 10235 – 101st Street, P.O. Box 667, Edmonton,
T5J 2K8
(403) 493-7708 Fax: (403) 426-7838
R. David SANDERS
Sanders & Beckingham Securities Limited, Suite 1450, 10130 – 101st Street, Edmonton, T5J 3N9
(403) 424-1001 Fax: (403) 425-4241
James G. SORENSON
Merrill Lynch Canada Inc., Suite 1700, Bow Valley Square IV, 250 – 6th Avenue S.W., Calgary, T2P 3H7
(403) 231-3355 Fax: (403) 231-3364
William J. WELTON
Merrill Lynch Canada Inc., 20th Floor, First Canadian Place, Bow Valley Square IV, 250 – 6th Avenue S.W.,
Calgary, T2P 3H7
(403) 266-0132 Fax: (403) 264-0119
Philip L. HEIMBECKER (ex-officio)
Goepel McDermid Inc., Suite 2300, 707 – 8th Avenue S.W., Calgary, T2P 1H5
(403) 221-0333 Fax: (403) 221-0350
Terry W. MELLING (ex-officio)
Investment Dealers Association of Canada, Suite 2300, 355 Fourth Avenue S.W., Calgary, AB, T2P 0J1
(403) 260-6278 Fax: (403) 265-4603
Kenneth A. SHIELDS (ex-officio)
Goepel McDermid Inc., Suite 1100, Pacific Centre, 701 West Georgia Street, P.O. Box 10111, Vancouver,
BC, V7Y 1C6
(604) 661-1750Fax: (604) 661-1790
Joseph J. OLIVER (ex-officio)
Investment Dealers Association of Canada, Suite 1600, 121 King Street West, Toronto, ON, M5H 3T9
(416) 865-3020 Fax: (416) 364-0753
34
ALBERTA DISTRICT COMMITTEES
1998 – 1999
ACCREDITED INVESTOR COMMITTEE
Gary E. Perron (Chair)
Michael J. Tims
Wiley D. Auch
Drew MacIntyre
Nesbitt Burns Inc., Calgary
Peters & Co. Limited, Calgary
FirstEnergy Capital Corp., Calgary
Nesbitt Burns Inc., Calgary
ALBERTA CAPITAL MARKETS FOUNDATION
Philip L. Heimbecker
Terry W. Melling
Goepel McDermid Inc., Calgary
Investment Dealers Association of Canada, Calgary
ASE LAISION
James G. Sorenson
Merrill Lynch Canada Inc., Calgary
CONFERENCE COMMITTEE
Donald W. Milligan (Chair)
Philip L. Heimbecker
J. Victor Rogers
RBC Dominion Securities Inc., Edmonton
Goepel McDermid Inc., Calgary
Rogers & Partners Securities Inc., Calgary
DISTINCTION
David Salloum (Chair)
Frederick T. Dunn
Gary E. Perron
RBC Dominion Securities Inc., Edmonton
Merrill Lynch Canada Inc., Edmonton
Nesbitt Burns Inc., Calgary
FAS AND JICG LIAISON
Wiley D. Auch
FirstEnergy Capital Corp., Calgary
GOVERNMENT LIAISON
Donald W. Milligan (Chair)
Gary E. Perron
Philip L. Heimbecker
RBC Dominion Securities Inc., Edmonton
Nesbitt Burns Inc., Calgary
Goepel McDermid Inc., Calgary
REGISTRATION
William J. Welton (Chair)
J. Victor Rogers
R. David Sanders
Kathleen B. Jost
Merrill Lynch Canada Inc., Calgary
Rogers & Partners Securities Inc., Calgary
Sanders & Beckingham Securities Limited, Edmonton
Bank of Montreal Investor Services Limited, Calgary
35
PACIFIC DISTRICT COUNCIL
CHAIR
Ward A. McMAHON
Canaccord Capital Corporation, Suite 2200, 609 Granville Street, P.O. Box 10337, Vancouver, V7Y 1H2
(604) 643-7300 Fax: (604) 688-0318
VICE-CHAIR
TBA
Charlotte P. BELL (Public Director)
Catalyst Corporate Finance Lawyers, Suite 1100, 1055 West Hastings Street, Vancouver, V6E 2E9
(604) 688-6900 Fax: (604) 443-7000
Pamela BENDALL
Nesbitt Burns Inc., Suite 860, Peninsula Village, 15355 – 24th Avenue, Surrey, V4A 2H9
(604) 541-4800 Fax: (604) 541-4848
John F. BRIGHTEN
Whalen, Béliveau & Associates Inc., Suite 3210, Park Place, 666 Burrard Street, Vancouver, V6C 2X8
(604) 683-1887 Fax: (604) 683-8891
Peter J. BROCK
Goepel McDermid Inc., Suite 500, 999 West Hastings Street, Vancouver, V6C 2W2
(604) 654-1156 Fax: (604) 654-7250
Christopher J. FUNSTON
Woodstone Capital Inc., Suite 310, 601 West Cordova Street, Vancouver, V6B 1G1
(604) 605-8300 Fax: (604) 605-8310
John R. GRIFFITH
Jones, Gable & Company Ltd., Suite 400, 700 West Pender Street, Vancouver, V6C 1C1
(604) 685-1481 Fax: (604) 685-3761
S. Russell ISAAC
Great Pacific Management Co. Ltd., 4th Floor, 1125 Howe Street, Vancouver, V6Z 2K8
(604) 669-1143 Fax: (604) 682-0529
Jill D. LEVERSAGE
RBC Dominion Securities Inc., Suite 2100, Park Place, 666 Burrard Street, Vancouver, V6C 3B1
(604) 257-7000 Fax: (604) 257-7117
Thomas R. MANSON (Public Director)
Russell & Dumoulin, Suite 2100, 1075 West Georgia Street, Vancouver, V6E 3G2
(604) 631-3131 Fax: (604) 631-3232
Gary P. MAYZES
Merrill Lynch Canada Inc., 11th Floor, Bentall III, 595 Burrard Street, Vancouver, V7X 1C3
(604) 688-2111 Fax: (604) 661-7754
36
John R. MORTON
Credential Securities Inc., Suite 820, 1441 Creekside Drive, Vancouver, V6J 4S7
(604) 730-5163 Fax: (604) 730-5166
Wade D. NESMITH (Public Director)
Lang Michener Lawrence & Shaw, Suite 1500, 1055 West Georgia Street, Vancouver, V6E 4N7
(604) 689-9111 Fax: (604) 685-7084
R. John ROGERS (Public Director)
British Columbia International Commercial Arbitration Centre, c/o 2716 West 3rd Avenue, Vancouver, V6K
1M5
(604) 916-9771 Fax: (604) 714-1109
Richard G. ROUSSEAU
Levesque Securities Inc., Suite 700, Montreal Trust Centre, 510 Burrard Street, Vancouver, V6C 3A8
(604) 643-2800 Fax: (604) 643-2792
Daniel Y.H. SIU
Golden Capital Securities Ltd., Suite 200, 6760 No. 3 Road, Richmond, V6Y 2C2
(250) 821-6388 Fax: (250) 821-0300
John B. VAN KOLL (ex-officio)
Goepel McDermid Inc., Suite 1100, Pacific Centre, 701 West Georgia Street, P.O. Box 10111, Vancouver,
V7Y 1C6
(604) 661-1759 Fax: (604) 684-0475
John T. EYMANN (ex-officio)
Pacific International Securities Inc., Suite 1900, 666 Burrard Street, Vancouver, V6C 3N1
(604) 664-2900 Fax: (604) 664-2649
H. James Stevens (ex-officio)
Investment Dealers Association of Canada, Suite 1325, 650 West Georgia Street, P.O. Box
11614, Vancouver, V6B 4N9
(604) 331-4750 Fax: (604) 683-3491
e-mail: jstevens@IDA.ca
37
Kenneth A. SHIELDS (ex-officio)
Goepel McDermid Inc., Suite 1100, Pacific Centre, 701 West Georgia Street, P.O. Box 10111, Vancouver,
BC, V7Y 1C6
(604) 661-1750Fax: (604) 661-1790
Joseph J. OLIVER (ex-officio)
Investment Dealers Association of Canada, Suite 1600, 121 King Street West, Toronto, ON, M5H 3T9
(416) 865-3020 Fax: (416) 364-0753
38
ASSOCIATION COMMITTEES
1998 – 1999
A.
IDA COMMITTEES
AUDIT COMMITTEE
Kenneth A. Shields, Chair
W. David Wilson, Past-Chair
David A. Richards
Thomas I.A. Allen, Q.C.
Goepel McDermid Inc.
ScotiaMcLeod Inc.
RBC Dominion Securities Inc.
Ogilvy Renault
CAPITAL MARKETS COMMITTEE
Donald A. Wright, Chair
Jerry Brown
Roger Casgrain
Dan Gosselin
Jamie Kiernan
Ken Knowles
Phipps Lounsbery
John Madden
H. Ross MacKinnon
Philip McKay
Don Paterson
Andy Pringle
David Tait
Paul Thomas
TD Securities Inc.
Salomon Smith Barney Canada Inc.
Casgrain & Company Limitée
Merrill Lynch Canada Inc.
Goldman Sachs Canada Inc.
J.P. Morgan Securities Canada Inc.
CIBC Wood Gundy Securities Inc.
ScotiaMcLeod Inc.
Nesbitt Burns Inc.
Morgan Stanley Canada Ltd.
Lévesque Beaubien Geoffrion Inc.
RBC Dominion Securities Inc.
Deutsche Bank Securities Ltd.
Merrill Lynch Canada Inc.
SUB-COMMITTEES OF THE CAPITAL MARKETS COMMITTEE
CANPX Board
Henry Ann
Jamie Kiernan
Phipps Lounsbery
H. Ross MacKinnon
Jim Magee
Dennis Marcotte
Peter McRae
Andy Pringle
Paul Thomas
Donald A. Wright
Tullett & Tokyo Securities Canada Ltd.
Goldman Sachs Canada Inc.
CIBC Wood Gundy Securities Inc.
Nesbitt Burns Inc.
Exco Shorcan International Brokers Ltd.
Prebon Yamane (Canada) Ltd.
Freedom International Brokerage Ltd.
RBC Dominion Securities Inc.
Merrill Lynch Canada Inc.
TD Securities Inc.
39
SUB-COMMITTEES OF THE CAPITAL MARKETS COMMITTEE (continued)
Government Debt Market Reform
Jerry Brown, Chair
Roger Casgrain
Andy Pringle
David Santina
David Tait
Paul Thomas
Salomon Smith Barney Canada Inc.
Casgrain & Company Limitée
RBC Dominion Securities Inc.
Goldman Sachs Canada Inc.
Deutsche Bank Securities Ltd.
Merrill Lynch Canada Inc.
Mortgage-backed Securities Sub-Committee
Mike Bowen, Chair
Roger Casgrain
Dan Fraleigh
Stephane Longval
Lawrence McKean
Rick Michaels
Jennifer Shum
Lawrence Small
Sean St. John
Jeff Wilson
Nesbitt Burns Inc.
Casgrain & Company Limitée
TD Securities Inc.
Merrill Lynch Canada Inc.
RBC Dominion Securities Inc.
Merrill Lynch Canada Inc.
Goldman Sachs Canada Inc.
ScotiaMcLeod Inc.
Lévesque Beaubien Geoffrion Inc.
CIBC Wood Gundy Securities Inc.
Securities Lending Sub-Committee
Chris Thomas, Chair
Craig Aubrey
Ralph Bain
Brian Clendinning
Dan Duggan
Jayson Horner
Greg King
Hubert Lavasseur
Adam MacKillop
Peter McDermid
Robert Norbrega
Tesse Parigoris
David Santina
Joe Serpe
Ross Smellie
Scotia Capital Markets Inc.
Merrill Lynch Canada Inc.
Merrill Lynch Canada Inc.
Merrill Lynch Canada Inc.
Lévesque Beaubien Geoffrion Inc.
Canada Trust Securities Inc.
Nesbitt Burns Inc.
Casgrain & Company Limitée
Morgan Stanley Canada Ltd.
Gordon Capital Corporation
RBC Dominion Securities Inc.
CIBC Wood Gundy Securities Inc.
Goldman Sachs Canada Inc.
TD Securities Inc.
Deutsche Morgan Grenfell Canada Inc.
Transparency Working Group
Jamie Kiernan
Phipps Lounsbery
H. Ross MacKinnon
Andy Pringle
Paul Thomas
Donald A. Wright
Goldman Sachs Canada Inc.
CIBC Wood Gundy Securities Inc.
Nesbitt Burns Inc.
RBC Dominion Securities Inc.
Merrill Lynch Canada Inc.
TD Securities Inc.
40
CHAIR’S CONSULTATIVE COUNCIL
Kenneth A. Shields, Chair
W. Reay Mackay, Vice-Chair
Pierre Brunet
Michael St.B. Harrison
Donald K. Johnson
John A. MacNaughton
Robert B. Schultz
Brian J. Steck
Daniel F. Sullivan
Michael J. Tims
W. David Wilson
Joseph J. Oliver (ex-officio)
Goepel McDermid Inc.
RBC Dominion Securities Inc.
Lévesque Beaubien Geoffrion Inc.
MacDougall, MacDougall & MacTier Inc.
Nesbitt Burns Inc.
Nesbitt Burns Inc.
Merrill Lynch Canada Inc.
Nesbitt Burns Inc.
ScotiaMcLeod Inc.
Peters & Co. Limited
ScotiaMcLeod Inc.
Investment Dealers Association of Canada
COMPENSATION COMMITTEE
Kenneth A. Shields, Chair
Goepel McDermid Inc.
W. Reay Mackay, Vice-Chair
RBC Dominion Securities Inc.
Joseph J. Oliver
Investment Dealers Association of Canada
and the proposed Vice-Chair of the IDA for 1999-2000
CORPORATE FINANCE COMMITTEE
Peter Jones, Chair
Thomas I.A. Allen
David Beatty
Brad Cameron
Roland Cardy
Gregory Fournier
Brent Fullard
Anthony Graham
Jim Hinds
Don Lindsay
Ron Lloyd
David MacDonald
Gordon Nixon
Scott Samuel
Daniel F. Sullivan
Michael J. Tims
First Marathon Securities Limited
Ogilvy Renault
Yorkton Securities Inc.
Gordon Capital Corporation
TD Securities Inc.
Merrill Lynch Canada Inc.
Nesbitt Burns Inc.
Lévesque Beaubien Geoffrion Inc.
Newcrest Capital Inc.
CIBC Wood Gundy Securities Inc.
Goepel McDermid Inc.
Bunting Warburg Inc.
RBC Dominion Securities Inc.
CT Securities Inc.
ScotiaMcLeod Inc.
Peters & Company Ltd.
41
SUB-COMMITTEES OF THE CORPORATE FINANCE COMMITTEE
Bank of Canada Jobber Committee
Phipps Lounsbery, Chair
CIBC Wood Gundy Securities Inc.
James Archer-Shee
RBC Dominion Securities Inc.
Craig Aubrey
Merrill Lynch Canada Inc.
Martine Irman
TD Securities Inc.
Jamie Kiernan
Goldman Sachs Canada
Nick Pyle
Bank of Montreal Investor Services Limited
Greg Smith
ScotiaMcLeod Inc.
Robert Webber
Lévesque Beaubien Geoffrion Inc.
Business Valuation Sub-Committee
Terrence C.W. Reid, Chair
Peter Buzzi
Harvey Fraser
Alan Hibben
Louise Morwick
CIBC Wood Gundy Securities Inc.
RBC Dominion Securities Inc.
Nesbitt Burns Inc.
RBC Dominion Securities Inc.
ScotiaMcLeod Inc.
IDA FEES COMMITTEE
William D. Packham, Chair
Thomas S. Caldwell
Robert Cross
Jeffrey D. Francoz
Guy Jolicoeur
David A. Richards
Michael J. Tims
F. Michael Walsh
Merrill Lynch Canada Inc.
Caldwell Securities Ltd.
Yorkton Securities Inc.
MMI Group Inc.
CIBC Wood Gundy Securities Inc.
RBC Dominion Securities Inc.
Peters & Co. Limited
First Marathon Securities Limited
NOMINATING COMMITTEE
W. David Wilson, Chair
Kenneth A. Shields
W. Reay Mackay
Thomas I.A. Allen
Joseph J. Oliver
ScotiaMcLeod Inc.
Goepel McDermid Inc.
RBC Dominion Securities Inc.
Ogilvy Renault
Investment Dealers Association of Canada
42
PENSION COMMITTEE
Kenneth A. Shields, Chair
W. Reay Mackay, Vice-Chair
Joseph J. Oliver
Sandy Grant (ex-officio)
Goepel McDermid Inc.
RBC Dominion Securities Inc.
Investment Dealers Association of Canada
Investment Dealers Association of Canada
RETAIL SALES COMMITTEE
Gary Reamey, Chair
Edward D. Jones & Co.
Germain Carrière, Vice-Chair
Lévesque Beaubien Geoffrion Inc.
Bradley Doney
Merrill Lynch Canada Inc.
Garth Bechtel
HSBC James Capel Canada Inc.
John T. Eymann
Pacific International Securities Inc.
Lorne Harper
RBC Dominion Securities Inc.
Philip Heimbecker
Goepel McDermid Inc.
Dean Manjuris
Nesbitt Burns Inc.
Doug McGee (ex-officio)
RBC DS Financial Services Inc.
Colleen Moorehead (ex-officio) VERSUS Brokerage Services Inc.
Thomas Monahan
CIBC Wood Gundy Securities Inc.
John Platt (ex-officio)
Nesbitt Burns Inc.
Stuart Raftus
Merrill Lynch Canada Inc.
Bruce S. Schwenger (ex-officio) Bank of Montreal Investor Services Limited
Ross Sherwood
Odlum Brown Limited
Jane Smith
Beacon Securities Limited
Robert Strickland
TD Evergreen Investment Services
Kristine Vikmanis (ex-officio) Nesbitt Burns Inc.
James Werry
ScotiaMcLeod Inc.
Roberta Wilton
Canadian Securities Institute
Thomas Dalzell (ex-officio)
Investment Dealers Association of Canada
SUB-COMMITTEES OF THE RETAIL SALES COMMITTEE
Education and Training Sub-Committee
Kristine Vikmanis, Chair
Nesbitt Burns Inc.
Insurance Sub-Committee
Doug McGee, Chair
RBC Dominion Securities Inc.
Mutual Funds Sub-Committee
John Platt, Chair
Nesbitt Burns Inc.
SUB-COMMITTEES OF THE RETAIL SALES COMMITTEE (continued)
Discount Brokerage Sub-Committee
Bruce S. Schwenger, Chair
Bank of Montreal Investor Services Limited
43
PUBLIC INFORMATION COMMITTEE
Linda White, Chair
ScotiaMcLeod Inc.
RESPONSE TO THE TASK FORCE ON THE FUTURE OF THE
CANADIAN FINANCIAL SERVICES SECTOR
Harry Schaefer, Chair
Thomas I.A. Allen, Q.C.
Brad Doney
Jeff Graham
Stanley Hartt
Peter L. Jones
Colleen Moorehead
Luc Paiement
Tom Rahilly
Ian C.W. Russell
Terry Salman
Schaefer & Associates Ltd.
Ogilvy Renault
Merrill Lynch Canada Inc.
Borden & Elliot
Salomon Smith Barney Canada Inc.
First Marathon Securities Limited
VERSUS Brokerage Services Inc.
Lévesque Beaubien Geoffrion Inc.
RBC Dominion Securities Inc.
Investment Dealers Association of Canada
Salman Partners Inc.
YEAR 2000 COMMITTEE
Maggie Artkin
Dominick & Dominick Securities Inc.
Albert Bissember
RBC Dominion Securities Inc.
Sal Blandizzi
Merrill Lynch Canada Inc.
Marilyn Borugian
Canaccord Capital Corporation
Joy Bullen
TD Securities Inc.
John Camilleri
Merrill Lynch Canada Inc.
Claire Cartman
Griffiths McBurney & Partners
Ross Chalmers
The Alberta Stock Exchange
Yves Chaurette
Montréal Exchange
Peter Clegg
Altamira Securities
Adam Conyers
The Toronto Stock Exchange
Andrew Cuksts
StarData
Mike Dignam
ADP Brokerage Services Inc.
Gordon Divitt
FundServ
Bob Ehlers
Citibank
Alan Gahtan
Borden & Elliot
YEAR 2000 COMMITTEE (continued)
Paul Goldie
Peter Grant
Pharid Jaffer
Jenny Jain
Myles Kis
Ather Khan
Izzy Kutnowski
Barbara Love
The Toronto Stock Exchange
Vancouver Stock Exchange
Canaccord Capital Corporation
ADP Brokerage Services Inc.
RBC Dominion Securities Inc.
Bunting Warburg Inc.
TD Securities Inc.
Canadian Investor Protection Fund
44
Bryan Manzer
Bill Marsh
Clint Matthews
Jeff Meyer
Kathy Nicholson
Andrée Ouellet
Donald Ouellet
Joe Pannunzyo
John Pantidis
Bill Price
Jean Marc Provencher
Keith Rose
Steve Smith
Gary Stephenson
William J.P. Sullivan
Carolyn Swadron
John Templeton
Rob Tonnesen
Winnie Tsang
Keith Verity
Scott Walters
Roger Warner
Mike Wheatley
John Wignall
Royal Bank Action Direct
First Marathon Securities Limited
Gordon Capital Corporation
The Alberta Stock Exchange
StarData
BLC Securities
Montréal Exchange
Lévesque Beaubien Geoffrion Inc.
Griffiths McBurney & Partners
CIBC Wood Gundy Securities Inc.
Casgrain & Compagnie Limitée
Investment Dealers Association of Canada
Dataphile Software
The Canadian Depository for Securities Limited
CIBC Wood Gundy Securities Inc.
Canadian Imperial Bank of Commerce
ISM
Pacific International
J.P. Morgan Securities Canada Inc.
ScotiaMcLeod Inc.
Nesbitt Burns Inc.
CDCC
Merrill Lynch Canada Inc.
CT Securities Services Inc.
Year 2000 Testing Sub-Committee
Joy Bullen
TD Securities Inc.
John Camilleri
Merrill Lynch Canada Inc.
Yves Chaurette
Montréal Exchange
Adam Conyers
The Toronto Stock Exchange
Gordon Divitt
FundServ
Peter Grant
Vancouver Stock Exchange
Jenny Jain
ADP Brokerage Services
Clint Matthews
Gordon Capital Corporation
Jeff Meyer
The Alberta Stock Exchange
YEAR 2000 COMMITTEE (continued)
Year 2000 Testing Sub-Committee (continued)
Peter Morrisson
Kathy Nicholson
Donald Ouellet
John Pantidis
Keith Rose
Steve Smith
Gary Stephenson
John Templeton
Keith Verity
Roger Warner
ScotiaMcLeod Inc.
StarData
Montréal Exchange
Griffiths McBurney & Partners
Investment Dealers Association of Canada
Dataphile Software
The Canadian Depository for Securities Limited
ISM
ScotiaMcLeod Inc.
CDCC
45
FINANCIAL ADMINISTRATORS SECTION
FAS Executive
David A. Richards, Chair
Greg Clarke
Richard Corner
William R.J. Fulton
Norman K.J. Graham
J. David D. McKeown
Lawrence H. McQuid
Michael C. Montgomery
Gerard O’Mahoney
Gaston Ostiguy
Boyd A. Penny
Keith Rose
John B.J. van Koll
Michael W. Ward
RBC Dominion Securities Inc.
Investment Dealers Association of Canada
Investment Dealers Association of Canada
Merrill Lynch Canada Inc.
ScotiaMcLeod Inc.
Rogers & Partners Securities Inc.
Pacific International Securities Inc.
Goldman Sachs Canada
TD Securities Inc.
Lévesque Beaubien Geoffrion Inc.
Nesbitt Burns Inc.
Investment Dealers Association of Canada
Goepel McDermid Inc.
Gordon Capital Corporation
Primary Members of the Financial Administrators Section
Thomas G. Aiken
MacDougall, MacDougall & MacTier Inc.
Joni Alexander
The Toronto Stock Exchange
Peter S. Ash
Essex Capital Management Ltd.
Mark Ashfield
Mirabaud Canada Inc.
Maysar Al-Samadi
Investment Dealers Association of Canada
Wiley D. Auch
FirstEnergy Capital Corp.
Stephen M. Baron
Royal Bank Action Direct Inc.
Mary Beck
Vancouver Stock Exchange
Primary Members of the Financial Administrators Section (continued)
Anne Bell
Adam Borak
Larry Boyce
Jean-Luc Brunet, C.A.
Viêt Buu
Myra K. Cameron
Christopher Campbell
Benoît Carignan
Sean P.B. Church
Greg Clarke
James C. Collie
Richard Corner
Gary Corsi
Elizabeth M. Cosma
Lloyd Costley
Scott R. Cruickshank
Denis Cyr, C.G.A.
John T. Davies
CIBC Investor Services Inc.
Lehman Brothers Canada Inc.
Investment Dealers Association of Canada
MD Management Limited
CTI Capital Inc.
Stuart Investment Management Limited
Canadian Western Capital Limited
Desjardins Securities Inc.
Priority Brokerage Inc.
Investment Dealers Association of Canada
Citibank Canada Securities Limited
Investment Dealers Association of Canada
Sunlife Securities Inc.
Merrill Lynch Canada Inc.
Vancouver Stock Exchange
Deutsche Bank Securities Limited
Tassé & Associés, Limitée
Porthmeor Securities Inc.
46
Sesto DeLuca
W.D. Latimer & Co. Limited
William R. Dines
HSBC James Capel Canada Inc.
Louise M. Duchesne
Peters & Co. Limited
Charles Dunlap
Haywood Securities Inc.
Jennifer Elliott
Investment Dealers Association of Canada
Enrique Fenig
Friedberg Mercantile Group
Joanne S. Ferstman
Marleau, Lemire Securities Inc.
Frank Fini
Thomson Kernaghan & Co. Limited
William R.J. Fulton
Merrill Lynch Canada Inc.
Michael Gagne
Winnipeg Commodity Exchange
Duncan Galloway
Deloitte & Touche
Brigitte J. Geisler
CT Securities Inc.
M. Ann Glover
Credifinance Securities Limited
Douglas J. Glover
Deacon Capital Corporation
Robert H. Goldberg
e3m Investments Inc.
Jean Gosselin
Montréal Exchange
Randy Harrett
The Nikko Securities Co. Canada, Ltd.
Jeffrey C. Heath
ScotiaMcLeod Inc.
Ian R. Hendry
RBC Dominion Securities Inc.
Lonsdale W. Holland
Beacon Securities Limited
Ginalee M. Holliday
Woodstone Capital Inc.
Robert P. Hutchison
Borden & Elliot
John C. Ignagni
A.C. MacPherson & Co. Inc.
Edward Ing
St. James Securities Inc.
John G. Kane
First Canada Securities Corporation
W. Jeffrey Kennedy
Loewen, Ondaatje, McCutcheon Limited
Primary Members of the Financial Administrators Section (continued)
Kenneth Klepacki
Frank Laferriere
C.G. Laidlaw
Fernande Lanoix
Donald Leslie
J. Russell Lindsay
Barbara Love
Adina Masson-Crocker
John R. Maynard
John P. McCrea
Michael McKenney
J. David D. McKeown
Henry A. McKinlay
Lawrence H. McQuid
Terry W. Melling
Owen Menzel
Joanne Meyer
Michael C. Montgomery
Les R. Moskalewicz
Gary Norton
Karen O’Connor
Robert J. O’Leary
Gaston Ostiguy
Instinet Canada Limited
BZW Canada Limited
Brawley Cathers Limited
Investment Dealers Association of Canada
Canadian Investor Protection Fund
CIBC Wood Gundy Securities Inc.
Canadian Investor Protection Fund
Griffiths McBurney & Partners
J.P. Morgan Securities Canada Inc.
Nesbitt Burns Inc.
Watt Carmichael Inc.
Rogers & Partners Securities Inc.
TD Securities Inc.
Pacific International Securities Inc.
Investment Dealers Association of Canada
C.M. Oliver & Company Limited
MacDougall, Meyer Inc.
Goldman Sachs Canada
Salomon Smith Barney Canada Inc.
Templeton International
The Alberta Stock Exchange
Newcrest Capital Inc.
Lévesque Beaubien Geoffrion Inc.
47
Andrée Ouellet
BLC valeurs mobilières inc.
Mahedi Pardhan
Merrill Lynch Canada Inc.
David Parsons
Pictet (Canada) and Company Limited
Ellen C. Paterson
Wolverton Securities Ltd.
Walter A. Pavan
Scotia Discount Brokerage Inc.
Sylvain Payette
Investment Dealers Association of Canada
Boyd A. Penny
Nesbitt Burns Inc.
R. Donald Perry
Odlum Brown Limited
Louis P. Piergeti
Investment Dealers Association of Canada
Sylvain Racine
Montréal Exchange
Wayne S.M. Ralph
RBC Dominion Securities Inc.
Kenneth W. Redpath
Credit Suisse First Boston Securities Canada Inc.
Rozanne Reszel
Canadian Investor Protection Fund
David A. Richards
RBC Dominion Securities Inc.
Sandra Richard
Great Pacific Management Co. Ltd.
Gerry Romanzin
The Alberta Stock Exchange
Keith Rose
Investment Dealers Association of Canada
Bruce S. Schwenger
Bank of Montreal Investor Services Limited
Susan Scullion
The Alberta Stock Exchange
Andrew C. Selbie
Research Capital Corporation
Robert M. Sellars
First Marathon Securities Limited
Primary Members of the Financial Administrators Section (continued)
Michael D. Sharpe
W. Paul Sinclair
Diane Sinhuber
David R. Smith
Casey Spreeuw
H. James Stevens
Gail Louise Stopforth
William J.P. Sullivan
Norman F. Thompson
Ian D. Todd
John B.J. van Koll
Susan Venn
Peter Virvilis
Michael W. Ward
John Warren
Gordon H. Weir
Geoffrey G. Whitlam
Cecelia Williams
Colleen Wright
Thomas K. Wu
Jean C. Wu
André Zanga
RBC Dominion Securities Inc.
Bunting Warburg Inc.
Ernst & Young
Goepel McDermid Inc.
Vancouver Stock Exchange
Investment Dealers Association of Canada
First Delta Securities Inc.
CIBC Wood Gundy Securities Inc.
Union Securities Ltd.
Salman Partners Inc.
Goepel McDermid Inc.
Edward D. Jones & Co.
Canaccord Capital Corporation
Gordon Capital Corporation
Borden & Elliot
Morgan Stanley Canada Limited
Yorkton Securities Inc.
The Toronto Stock Exchange
Sprott Securities Limited
Nomura Canada Inc.
Golden Capital Securities Ltd.
Casgrain & Compagnie Limitée
Alternate Members of the Financial Administrators Section
Mahmood A. Ahamed
Jennifer Allen
Woodstone Capital Inc.
BWZ Canada Limited
48
Jean-Paul Bachellerie
Pacific International Securities Inc.
Robert A. Bishop
CIBC Wood Gundy Securities Inc.
James D. Blair
Yorkton Securities Inc.
Robert Blanchard
Haywood Securities Inc.
Mike Blundell
Canaccord Capital Corporation
Jeff Bouganim
Salomon Smith Barney Canada Inc.
David Burmudzija
Newcrest Capital Inc.
Sydney Carlyle
W.D. Latimer & Co. Limited
Nancy Catton
Yorkton Securities Inc.
Jean Chan
Deutsche Bank Securities Limited
Tony Y.C. Chan
Golden Capital Securities Ltd.
Judy L. Crawford
CIBC Investor Services Inc.
Geno A. Della Rocca
A.C. MacPherson & Co. Inc.
George B. Dunn
Merrill Lynch Canada Inc.
George A. Ferguson
Brink, Hudson & Lefever Ltd.
Greg Finnamore
CIBC Investor Services Inc.
Alternate Members of the Financial Administrators Section (continued)
Barbara Fraser
Stephen D. Gerry
J. Duncan Gibson
Norman K.J. Graham
John A. Higginbotham
Michael L. Holmes
Geoffrey Horrocks
Edward E. Jablonky
Hugh Jones
Grace Kung
Martin D. Lang
Edmond F. Lee
James Lexovsky
Hillery J. Lloyd
J. Kenneth MacDonald
Nelson C. MacDonald
Marie F. Martin
Robert Matthews
Thomas R. McCahon
Ward A. McMahon
J. Kevin McQuaid
Thomas Monahas
Nancy Moore
Yvan Naud
Philip T. Nickels
Gerard O’Mahoney
Peter Pacholko
Gerald Perriard
Thomas Raidl
Daniel M. Sefton
Elizabeth Sgro
Lee Simpson
Steven F. Somodi
Rogers & Partners Securities Inc.
Bunting Warburg Inc.
Friedberg Mercantile Group
ScotiaMcLeod Inc.
RBC Dominion Securities Inc.
Goepel McDermid Inc.
TD Securities Inc.
ScotiaMcLeod Inc.
MacDougall, MacDougall & MacTier Inc.
Citibank Canada Securities Limited
Union Securities Ltd.
Deutsche Bank Securities Limited
Griffiths McBurney & Partners
Watt Carmichael Inc.
Gordon Capital Corporation
Deacon Capital Corporation
Merrill Lynch Canada Inc.
Loewen, Ondaatje, McCutcheon Limited
CIBC Wood Gundy Securities Inc.
Canaccord Capital Corporation
Research Capital Corporation
Merrill Lynch Canada Inc.
Scotia Discount Brokerage
NBC Clearing Services Incorporated
Mirabaud Canada Inc.
TD Securities Inc.
Odlum Brown Limited
Mirabaud Canada Inc.
Goepel McDermid Inc.
Royal Bank Action Direct Inc.
Griffiths McBurney & Partners
Thomson Kernaghan & Co. Limited
Gordon Capital Corporation
49
Barbara G. Stymiest
Duncan Webb
T.A. White
Karen Yan Seto
Nesbitt Burns Inc.
CT Securities Inc.
Merrill Lynch Canada Inc.
First Marathon Securities Limited
50
SUB-COMMITTEES OF THE FINANCIAL ADMINISTRATORS SECTION
Capital Formula Sub-Committee
Michael C. Montgomery, Chair
Goldman Sachs Canada
Joni Alexander
The Toronto Stock Exchange
Greg Clarke
Investment Dealers Association of Canada
Richard Corner
Investment Dealers Association of Canada
William R.J. Fulton
Merrill Lynch Canada Inc.
Jeffrey C. Heath
ScotiaMcLeod Inc.
John A. Higginbotham
RBC Dominion Securities Inc.
W. Jeffrey Kennedy
Loewen, Ondaatje, McCutcheon Limited
J. Russell Lindsay
CIBC Wood Gundy Securities Inc.
Barbara Love
Canadian Investor Protection Fund
Gino Martone
Nesbitt Burns Inc.
Henry A. McKinlay
TD Securities Inc.
Karen O’Connor
The Alberta Stock Exchange
Sylvain Racine
Montréal Exchange
Kenneth W. Redpath
Credit Suisse First Boston Securities Canada Inc.
Keith Rose
Investment Dealers Association of Canada
Robert M. Sellars
First Marathon Securities Limited
Elizabeth Sgro
Griffiths McBurney & Partners
Casey Spreeuw
Vancouver Stock Exchange
Michael W. Ward
Gordon Capital Corporation
Gordon H. Weir
Morgan Stanley Canada Limited
Colleen Wright
Sprott Securities Limited
Thomas K. Wu
Nomura Canada Inc.
Insurance Sub-Committee
Thomas Monahas, Chair
Merrill Lynch Canada Inc.
Maysar Al-Samadi
Investment Dealers Association of Canada
Leslie J. Faryna
Scotia Insurance
Stephen D. Gerry
Bunting Warburg Inc.
Jean Gosselin
Montréal Exchange
Donald Leslie
Canadian Investor Protection Fund
Barbara Love
Canadian Investor Protection Fund
Sylvain Racine
Montréal Exchange
David Robart-Morgan
Robart-Morgan Inc.
Keith Rose
Investment Dealers Association of Canada
Jeremy Sams
Barber Stewart Mcvittee & Wallace
Michael D. Sharpe
RBC Dominion Securities Inc.
Angela T. Stirpe
Caldwell Securities Ltd.
William J.P. Sullivan
CIBC Wood Gundy Securities Inc.
Karen Yan Seto
First Marathon Securities Limited
SUB-COMMITTEES OF THE FINANCIAL ADMINISTRATORS SECTION (continued)
Internal Control Sub-Committee
William J.P.Sullivan, Chair CIBC Wood Gundy Securities Inc.
51
Maysar Al-Samadi
Barbara Love
Clint Matthews
Carlo Minicucci
Bernice Pang
Blaize Piacentini
Louis Piergeti
Dan Rende
Investment Dealers Association of Canada
Canadian Investor Protection Fund
Gordon Capital Corporation
Merrill Lynch Canada Inc.
Morgan Stanley Canada Limited
Investment Dealers Association of Canada
Investment Dealers Association of Canada
RBC Dominion Securities Inc.
Mutual Funds Sub-Committee
Wayne Ralph, Chair
RBC Dominion Securities Inc.
Jerry Beniuk
TD Securities Inc.
Douglas Bennett
Edward D. Jones & Co.
Bill Best
Equion Group
Ed Bezeau
Dynamic Funds
Richard Binnendyk
CTA Systemsource Corp.
Harriet Borch
Guardian Mutual Funds
Peter Broster
RBC Dominion Securities Inc.
Thomas Dalzell
Investment Dealers Association of Canada
Jennifer Dewling
Fortune Financial Management
Peter Dunlop
DST Canada Inc.
Paul Ferrier
ScotiaMcLeod Inc.
Stuart Freeman
Guardian Group of Funds Ltd.
Sarah Galley
Peter Cundill & Associates Ltd.
Laurie Gillett
Investment Funds Institute of Canada
Jean Gosselin
Montréal Exchange
Ann Harris
Investment Dealers Association of Canada
Dennis Horgan
Global Strategy
Edward E. Jablonky
ScotiaMcLeod Inc.
Ann Jannus
First Marathon Securities Ltd.
Neal Kerr
BPI Financial Corporation
Zain Khan
Canadian Investor Protection Fund
Brad Kohn
Brink, Hudson & Lefever Ltd.
Kerry Lutes
CIBC Wood Gundy Securities Inc.
R. Massaar
Jewelstone Systems Inc.
Cathie McGown
Nesbitt Burns Inc.
Lynn Metcalf
Fidelity Investments Canada Ltd.
Oliver Murray
Trimark Investment Management Inc.
Gary Norton
Templeton International
SUB-COMMITTEES OF THE FINANCIAL ADMINISTRATORS SECTION (continued)
Mutual Funds Sub-Committee (continued)
Peter Pacholko
Denise Pigeau
Chuck Pound
Pierre Prud’Homme
Sylvain Racine
Rozanne Reszel
Odlum Brown Limited
The Financial Centre Securities Corporation
Merrill Lynch Canada Inc.
NBC Clearing Services Inc.
Montréal Exchange
Canadian Investor Protection Fund
52
Gerry C. Rivers
Gerry Romanzin
Keith Rose
Linda Rumohr
Yolande Small
Jane Smith
Casey Spreeuw
Pierre Trahan
Irene Urshon
Frank Vree
Russell White
Judy Yamamoto
Star Data Systems
The Alberta Stock Exchange
Investment Dealers Association of Canada
Scotia Discount Brokerage Inc.
Spectrum United Mutual Funds Inc.
Beacon Securities Ltd.
Vancouver Stock Exchange
Tassé & Associés, Limitée
TD Bank
FundSERV
AGF Management Ltd.
Mackenzie Financial Corporation
Operations Sub-Committee
Gerard O’Mahoney, Chair TD Securities Inc.
Maysar Al-Samadi
Investment Dealers Association of Canada
Lise N. Arnett
TD Securities Inc.
Howard Bayne
First Marathon Securities Limited
Jim Cahill
Goldman Sachs Canada
Janet Carlin
Goepel McDermid Inc.
Greg Clarke
Investment Dealers Association of Canada
Keith Evans
The Canadian Depository for Securities Limited
Cheryle Gent
First Marathon Securities Limited
Jean Gosselin
Montréal Exchange
Norman K.J. Graham
ScotiaMcLeod Inc.
Michael L. Holmes
Goepel McDermid Inc.
Allyn Howe
The Canadian Depository for Securities Limited
Edward E. Jablonky
ScotiaMcLeod Inc.
J. Kenneth MacDonald
Gordon Capital Corporation
Nelson C. MacDonald
Deacon Capital Corporation
Marie F. Martin
Merrill Lynch Canada Inc.
Timothy K. Miller
Nesbitt Burns Inc.
Yvan Naud
NBC Clearing Services Incorporated
Peter Pacholko
Odlum Brown Limited
SUB-COMMITTEES OF THE FINANCIAL ADMINISTRATORS SECTION (continued)
Operations Sub-Committee (continued)
Edward Andris Pauksens
Boyd A. Penny
Pierre Prud’Homme
Sylvain Racine
Wayne S.M. Ralph
David Robart-Morgan
Keith Rose
David Tabone
Anthony P. Taggio
Alice Turner
Peter Virvilis
CIBC Wood Gundy Securities Inc.
Nesbitt Burns Inc.
Lévesque Beaubien Geoffrion Inc.
Montréal Exchange
RBC Dominion Securities Inc.
Robart-Morgan Inc.
Investment Dealers Association of Canada
Freedom International Brokerage Inc.
ScotiaMcLeod Inc.
Merrill Lynch Canada Inc.
Canaccord Capital Corporation
53
J. Kenton Warren
W. David Wood
RBC Dominion Securities Inc.
First Marathon Securities Limited
Contingency Planning Sub-Committee
Michael Wilkovesky,
Chair
Ed Charron
John Cieslak
Pharid Jaffer
Graeme Jannaway
Kevin Morley
Joe Pannunzyo
David Plumley
Keith Rose
Sheila Sangster
Claudio Sanniti
Ernie Summers
Merrill Lynch Canada Inc.
Griffiths McBurney & Partners
First Marathon Securities Limited
Canaccord Capital Corporation
Nesbitt Burns Inc.
The Toronto Stock Exchange
Lévesque Beaubien Geoffrion Inc.
RBC Dominion Securities Inc.
Investment Dealers Association of Canada
CIBC Wood Gundy Securities Inc.
RBC Dominion Securities Inc.
TD Securities Inc.
Salary and Benefits Sub-Committee
Ian R. Hendry, Chair
RBC Dominion Securities Inc.
Pierre Beaulieu
Lévesque Beaubien Geoffrion Inc.
Ann Dyer
TD Securities Inc.
Brent Garell
CIBC Wood Gundy Securities Inc.
David Gore
Watson Wyatt
Diana Hoover
Toronto Dominion Bank
Vanessa Lewerentz
Nesbitt Burns Inc.
Suzanne Marineau
Nesbitt Burns Inc.
Brian McKenzie
ScotiaMcLeod Inc.
Salary and Benefits Sub-Committee (continued)
Paula Nunes
Brenda Payne
Stephen Power
Donna Power
Jim Siddall
David R. Smith
Kenneth Strom
Susan P. Vincent
Ruth G. Woods
Merrill Lynch Canada Inc.
RBC Dominion Securities Inc.
ScotiaMcLeod Inc.
First Marathon Securities Limited
Investment Dealers Association of Canada
Goepel McDermid Inc.
Watson Wyatt
Merrill Lynch Canada Inc.
ScotiaMcLeod Inc.
Statistics Review Sub-Committee
Norman Thompson, Chair Union Securities Ltd.
Charles Dunlap
Haywood Securities Inc.
Bill McGrath
Nesbitt Burns Inc.
Rob Orr
CIBC Wood Gundy Securities Inc.
Blaize Piacentini
Investment Dealers Association of Canada
Rozanne Reszel
Canadian Investor Protection Fund
Keith Rose
Investment Dealers Association of Canada
54
Casey Spreeuw
Vancouver Stock Exchange
Tax Sub-Committee
Elizabeth M. Cosma, Chair
Nathalie Brouard
Michael Callendar
Joyce Chan
Richard Corner
Andrew Dunn
Barbara Fenn
Louis Huang
Nik Kothari
Alain Legrie
Mahedi Pardhan
Shawn Porter
Sylvain Racine
Keith Rose
Victor Santos
Mike Stewart
Wilson Sun
Joanne Susanna
Martin Tam
Sandy Wilkinson
Ron Wilson
Cynthia Wong
B.
Merrill Lynch Canada Inc.
Price Waterhouse
Toronto Dominion Bank
Nesbitt Burns Inc.
Investment Dealers Association of Canada
Deloitte & Touche
CIBC Wood Gundy Securities Inc.
Toronto Dominion Bank
Nesbitt Burns Inc.
Lévesque Beaubien Geoffrion Inc.
Merrill Lynch Canada Inc.
Arthur Andersen & Co.
Montréal Exchange
Investment Dealers Association of Canada
Canadian Investor Protection Fund
KPMG
Nomura Canada Inc.
CIBC Wood Gundy Securities Inc.
Toronto Dominion Bank
RBC Dominion Securities Inc.
Davies, Ward & Beck
First Marathon Securities Limited
JOINT INDUSTRY COMMITTEES
CAPITAL CO-ORDINATING COMMITTEE
David A. Richards
TBA
Gregory M. Clarke
RBC Dominion Securities Inc.
Investment Dealers Association of Canada
JOINT INDUSTRY COMPLIANCE GROUP
Michael D. Sharpe, Chair
RBC Dominion Securities Inc.
Joni Alexander
The Toronto Stock Exchange
S. Kenneth J. Aquino
The Financial Centre Securities Corporation
Maggie A. Artkin
Dominick & Dominick Securities Inc.
Mark Ashfield
Mirabaud Canada Inc.
David W. Atkins
SunLife Securities Inc.
Wiley D. Auch
FirstEnergy Capital Corp.
Kelly Baird
Connor Clark & Company Ltd.
Mary Beck
Vancouver Stock Exchange
Holly Benson
Peters & Co. Limited
Jennifer Beverly
Bank of Montreal Investor Services Limited
Rita Bilerman
HSBC James Capel Canada Inc.
Robert Blanchard
Haywood Securities Inc.
55
Larry Boyce
Investment Dealers Association of Canada
Daniel L. Brough
C.M. Oliver & Company Limited
Tom Briant
The Toronto Stock Exchange
Lesley Bruce
RBC Dominion Securities Inc.
Jean-Luc Brunet, C.A. MD Management Limited
Cheryl Bryden
MMI Group Inc.
Jamie Bulnes
Connor Clark & Company Ltd.
David B. Burnes
First Marathon Securities Limited
Donald J. Burwell
Edward D. Jones & Co.
Steve Cameron
Merrill Lynch Canada Inc.
Myra K. Cameron
Stuart Investment Management Limited
Benoît Carignan
Desjardins Securities Inc.
John Carson
The Toronto Stock Exchange
David Chernoff
Global Securities Corporation
Leo Ciccone
Griffiths McBurney & Partners
Nancy B.M. Clancy
ScotiaMcLeod Inc.
Gregory M. Clarke
Investment Dealers Association of Canada
D. Christopher Climo
TD Securities Inc.
Ruth-Ann Companion
Thomson, Kernaghan & Co. Limited
Michel Cousineau
MCA Valeurs Mobilières inc.
Cheryl de Montigny
Equion Securities Canada Limited
Michael Dignam
ADP Brokerage Services
JOINT INDUSTRY COMPLIANCE GROUP (continued)
Chris Dimitropoulas
Todd J. Doige
Bradley E. Doney
Louise M. Duchesne
Charles Dunlap
Julie Eisenstat
Jennifer Elliott
Mylene Filteau
Thomas A. Flanagan
Michael Gagne
Alberto Galeone
Vanessa Gardiner
Pierre Gloutney
Jean Gosselin
Sally H. Haba
Susan J. Han
Allan Derek Hatfield
Robb W. Hindson
Geoffrey Horrocks
John Howard
Marjorie J. Hull
Suky Ing
Nicolle Irving
Jim Johns
Sheila Kaiser
William C. Kennedy
David W. Kerr
Investment Dealers Association of Canada
Griffiths McBurney & Partners
Merrill Lynch Canada Inc.
Peters & Co. Limited
Haywood Securities Inc.
Taurus Capital Markets Limited
Investment Dealers Association of Canada
Gordon Capital Corporation
Bank of Montreal Investor Services Limited
Winnipeg Commodity Exchange
Republic Securities Canada
Investment Dealers Association of Canada
Refco Futures (Canada) Ltd.
Montréal Exchange
Caldwell Securities Ltd.
Merrill Lynch Canada Inc.
First Marathon Securities Limited
Jones, Gable & Company Limited
TD Securities Inc.
DPM Securities Inc.
The Financial Centre Securities Corporation
Gordon Capital Corporation
Groome Capital Inc.
Jones, Gable & Company Limited
FirstEnergy Capital Corp.
ScotiaMcLeod Inc.
ScotiaMcLeod Inc.
56
Guenther W.K. Kleberg CIBC Wood Gundy Securities Inc.
Charles M. Laddish
Goepel McDermid Inc.
Michel Landriault
BNP (Canada) Valeurs Mobilières Inc.
David Lang
Nesbitt Burns Inc.
Martin D. Lang
Union Securities Ltd.
Fernande Lanoix
Investment Dealers Association of Canada
Stephen Leacock
Deacon Capital Corporation
James Lee
Investment Dealers Association of Canada
Francis K. Lindayen
Bank of Montreal Investor Services Limited
David C. Lister
Yorkton Securities Inc.
Louis Lu
Alpha Capital Inc.
Morag MacGougan
Investment Dealers Association of Canada
J. Douglas MacKay
CIBC Investor Services Inc.
Robert Matthews
Loewen, Ondaatje, McCutcheon Limited
R. Gordon H. McCaslin Bunting Warburg Inc.
Michael McKenney
Watt Carmichael Inc.
Ward A. McMahon
Canaccord Capital Corporation
JOINT INDUSTRY COMPLIANCE GROUP (continued)
Patrick B.P. McNenly
Gordon Capital Corporation
Lawrence H. McQuid
Pacific International Securities Inc.
Terry W. Melling
Investment Dealers Association of Canada
Patrick Metzger
Hongkong Bank Discount Trading Inc.
Joanne Meyer
MacDougall, Meyer Inc.
James G. Miller
ScotiaMcLeod Inc.
Brent Moore
Royal Bank Action Direct Inc.
Denvy Nanderam
Georgia Pacific Securities Corporation
Deborah L. Newman-Lewis
CIBC Wood Gundy Securities Inc.
Erik Nippak
Investment Dealers Association of Canada
Joan Louise Noble
RBC Dominion Securities Inc.
Carol Oberlin
CT Securities Inc.
Karen O’Connor
The Alberta Stock Exchange
Judy Ofiara
Scotia Capital Markets
Marie C. Oswald
Merrill Lynch Canada Inc.
Andrée Ouellet
BLC Valeurs mobilières inc.
Gilles Ouimet
Merrill Lynch Canada Inc.
Michael R. Painter
Rampart Securities Inc.
David Parsons
Pictet (Canada) and Company Limited
Ellen C. Paterson
Wolverton Securities Ltd.
Sylvain Payette
Investment Dealers Association of Canada
R. Donald Perry
Odlum Brown Limited
Cindy Petlock
CIBC Wood Gundy Securities Inc.
Carol Petrenko
ScotiaMcLeod Inc.
Francis M. Pope
Pope & Company
Shirley Pridham
RBC Dominion Securities Inc.
Michael Prior
The Toronto Stock Exchange
Chris E. Raven
Goepel McDermid Inc.
Kenneth W. Redpath
Credit Suisse First Boston Securities Canada Inc.
Denis Regimbald
Valeurs Mobilières Investpro Inc.
Rozanne Reszel
Canadian Investor Protection Fund
Guy Roby
Lévesque Beaubien Geoffrion Inc.
57
Gerry Romanzin
The Alberta Stock Exchange
Keith Rose
Investment Dealers Association of Canada
Pascale Rousseau
Placements Banque Nationale Inc.
Paul Schultz
ADP Brokerage Services
Sophia Sciouris
The Nikko Securities Co. Canada, Ltd.
W. Paul Sinclair
Bunting Warburg Inc.
Casey Spreeuw
Vancouver Stock Exchange
Angela T. Stirpe
Caldwell Securities Ltd.
H. James Stevens
Investment Dealers Association of Canada
Gale Stone
Altamira Securities
Richard J. Stuchberry
First Associates Investments Inc.
Robert G. Sutherland
Odlum Brown Limited
JOINT INDUSTRY COMPLIANCE GROUP (continued)
Lorne Switzer
Royal Bank Action Direct Inc.
Karen L. Taylor
Research Capital Corporation
Norman F. Thompson
Union Securities Ltd.
Joseph Thurman
First Marathon Securities Limited
H. Keith Titterton
Canaccord Capital Corporation
Ian D. Todd
Salman Partners Inc.
Sandy Todd
Newcrest Capital Inc.
Nadia Trozzi
Republic Securities Canada
Michael Weinberg
Omni Capital Inc.
Gerhard W. Wetzel
First Marathon Securities Limited
Cecelia Williams
The Toronto Stock Exchange
Noelle Wood
The Toronto Stock Exchange
Jean C. Wu
Golden Capital Securities Ltd.
Thomas K. Wu
Nomura Canada Inc.
Kevin Yates
VERSUS Brokerage Services Inc.
Christian Zaludek
Research Capital Corporation
Stefano Zuliani
Goldman Sachs Canada
Franchising Sub-Committee
Brad Doney, Chair Merrill Lynch Canada Inc.
Mary Beck
Vancouver Stock Exchange
Bill Best
Equion Group
Larry Boyce
Investment Dealers Association of Canada
Gregory M. Clarke Investment Dealers Association of Canada
Jennifer Dewling
Fortune Financial Management Inc.
Jennifer Elliott
Investment Dealers Association of Canada
Laird Elliott
CMG Corporate Services Inc.
Toni Ferrari
Ontario Securities Commission
Jean Gosselin
Montréal Exchange
Patty Johnston
The Alberta Stock Exchange
John Kennedy
Berkshire Group
Debbie Newman-Lewis
CIBC Wood Gundy Securities Inc.
Jean-Claude ParadisLeduc & Associés Valeurs mobilières
(Canada) Ltée
Wally Rawlinko
National Financial Securities
Rozanne Reszel
Canadian Investor Protection Fund
58
Keith Rose
Casey Spreeuw
Dave Velanoff
Gerhard Wetzel
Investment Dealers Association of Canada
Vancouver Stock Exchange
Ross Dixon Financial Services
First Marathon Securities Limited
59
JOINT SECURITIES INDUSTRY COMMITTEE ON CONFLICTS OF INTEREST
John Hagg, Chair
Ian Brown
Peter M. Brown
John Clark
Purdy Crawford
James D. Hinds
Robert L. McLeish
Paul A. Pommier
Firoz Rasul
Kenneth A. Shields
Daniel F. Sullivan
Northstar Energy Corporation
Goepel McDermid Inc.
Canaccord Capital Corporation
Connor Clark & Company Ltd.
IMASCO Limited
Newcrest Capital Inc.
Merrill Lynch Canada Inc.
Lévesque Beaubien Geoffrion Inc.
Ballard Power Systems Inc.
Goepel McDermid Inc.
ScotiaMcLeod Inc.
JOINT SECURITIES INDUSTRY COMMITTEE ON CROSS-BORDER ISSUES
John L. Howard, Chair Investment Dealers Association of Canada
Deborah Armour
Vancouver Stock Exchange
Ian Beddis
ASE / RBC Dominion Securities Inc.
Robert Blanchard
VSE / Haywood Securities Inc.
Keith Boast
The Toronto Stock Exchange
Thomas Cumming
The Alberta Stock Exchange
Marie Giguère
Montréal Exchange
Ken Hight
TSE / TD Securities Inc.
Gilles Ouimet
ME / Merrill Lynch Canada Inc.
Ian C.W. Russell
Investment Dealers Association of Canada
C.
SECURITIES INDUSTRY ADVISORY COUNCIL
Kenneth A. Shields
W. Reay Mackay
Joseph J. Oliver
D.
Goepel McDermid Inc.
RBC Dominion Securities Inc.
Investment Dealers Association of Canada
CANADIAN SECURITIES INSTITUTE
Joseph J. Oliver, Chair
Kenneth A. Shields
W. Reay Mackay
Investment Dealers Association of Canada
Goepel McDermid Inc.
RBC Dominion Securities Inc.
E.
CANADIAN DEPOSITORY FOR SECURITIES
Peter Virvilis
FUNDSERV INC.
Canaccord Capital Corporation
F.
Norman Graham
ScotiaMcLeod Inc.
60
G.
CANADIAN INVESTOR PROTECTION FUND
Kenneth A. Shields, Governor Goepel McDermid Inc.
W. Reay Mackay,
Alternate Governor
RBC Dominion Securities Inc.
Joseph J. Oliver, Deputy Governor
Investment Dealers Association of Canada
61