William S. Rice, Q.C.

Chair, Alberta Securities Commission
Mr. Rice is currently Chair and Chief Executive Officer of the Alberta Securities Commission. Prior to his joining the Alberta Securities Commission on July 18, 2005, Mr. Rice was a partner of the Bennett Jones LLP law firm in Calgary. During the five years prior to his appointment to the Alberta Securities Commission, Mr. Rice served as the firm’s national managing partner. He graduated from Bishop’s University with a BA in 1968 and from Osgoode Hall Law School with an LLB in 1972. While at Bennett Jones, Mr Rice practised as a member of the litigation bar from 1974 until 1979 and as a securities law specialist thereafter. Mr. Rice served as a member and chair of a number of companies, both public and private, over a period of some 15 years.

Mr. Rice was appointed Chair of the Canadian Securities Administrators in January 2011.

Alberta Securities Commission
Ste. 600 - 250, 5th Street SW
Calgary, AB T2P OR4

Brenda Leong

Chair and Chief Executive Officer, British Columbia Securities Commission
Prior to this appointment, Ms. Leong was the chief operating and chief enforcement officer of the BCSC, responsible for overseeing the financial and administrative affairs of the commission. She has successfully initiated and delivered results for all of the BCSC’s operating divisions, implemented significant service enhancements, and built strong relations with securities regulators in other provinces through the Canadian Securities Administrators. Brenda Leong holds a Bachelor of Commerce in Finance from the University of Alberta, Edmonton and a Bachelor of Laws from Osgoode Hall Law School, Toronto. Before joining the Commission, she practiced corporate and securities law in Vancouver.

British Columbia Securities Commission
P.O. Box 10142, Pacific Centre
701 West Georgia Street
Vancouver, BC V7Y 1L2

Don Murray

Chair, Manitoba Securities Commission
Mr. Murray graduated from the University of Manitoba Law School in 1976 and practiced law for 20 years, most recently with McJannet Rich in general commercial practice, including securities and limited partnership work. He was appointed to The Manitoba Securities Commission as a part-time Commissioner in 1993 and became Vice-Chair in 1994. In December 1997, Mr. Murray accepted an appointment as the Chair of the Commission. As Chair, he represents the Commission with the Canadian Securities Administrators and is a member of the Policy Coordination Committee of the CSA. He is a former member of the Board of Directors of the North American Securities Administrators based in Washington, DC.

Manitoba Securities Commission
500 - 400 St. Mary Avenue
Winnipeg, MB R3C 4K5

David G. Barry, Q.C.

Chair and Chief Executive Officer, New Brunswick Securities Commission
Mr. Barry is the Chair and Chief Executive Officer of the New Brunswick Securities Commission having assumed that position on July 1st, 2009. Prior to joining the Commission he was counsel to the law firm of Barry Spalding in Saint John and was a senior partner in the firm from its inception in 1981 until 2008. Mr. Barry was a nationally recognized practitioner of business law with special expertise in corporate finance and securities, taxation, information technology and privacy.

Mr. Barry received his B.Sc. (Honours) in Mathematics from Saint Francis Xavier University in 1966 and his M.Sc. (Computer Science) from the University of Alberta in 1968. While lecturing in Computer Science at the University of New Brunswick, he entered law school and obtained his LL.B in 1972, and was admitted to the bar that same year. He was appointed Queens Counsel in 1991.

An active member of the Canadian Bar Association, Mr. Barry is also a member of the Saint John Law Society, the Law Society of New Brunswick, the International Association of Privacy Professionals and the Canadian Tax Foundation, and is an associate member of the American Bar Association. He served on the councils of the Law Society of New Brunswick and the Canadian Bar Association - New Brunswick Branch and the national organization, and is a past governor of the Canadian Tax Foundation and a former director of CanLII, an electronic publisher of legal materials established by the Canadian legal profession.

Community has played an important role throughout his career and private life. Mr. Barry has been active as : President of the Saint John Board of Trade; Chair of Enterprise Saint John, the community economic and development agency; President of the New Brunswick Museum; Chair of Saint John Airport Inc., southern New Brunswick's regional airport; a director and governor of the United Way of Saint John; and President of the YM-YWCA Saint John.

Mr. Barry was appointed Vice-Chair of the Canadian Securities Administrators in April 2011.

New Brunswick Securities Commission
85 Charlotte Street, Suite 300
Saint John, NB E2L 2J2

Douglas J. Connolly

Superintendent of Securities, Service Newfoundland and Labrador
Mr. Connolly is the Director of the Financial Services Regulation Division and was appointed Superintendent of Securities in December 2009. He is also the Superintendent of Insurance, Superintendent of Real Estate and Registrar of Mortgage Brokers and has responsibility for the regulation of Prepaid Funeral Contract Sellers.

Mr. Connolly started his Public Service career in 1977 and for the first nine years worked for the Auditor General for the Province. He has been involved in the regulation of the insurance industry since 1988 and in the regulation of the securities industry since 2002, initially as a part-time Commissioner with the Securities Commission of Newfoundland and Labrador until being appointed as Director of Securities in March 2004. With the elimination of the Securities Commission in 2005, Mr. Connolly was appointed Deputy Superintendent of Securities.

Mr. Connolly obtained his Certified General Accountant designation in 1987.

Service Newfoundland and Labrador
2nd Floor, West Block
Confederation Building
P.O. Box 8700
St. John's, NL A1B 4J6

Gary MacDougall

Superintendent of Securities, Department of Justice
Government of Northwest Territories
Mr. MacDougall is the Superintendent of Securities for the Northwest Territories, appointed in 2008 under its new Securities Act. Under the former Act, he was first appointed as Registrar of Securities in 1981, making him the longest serving executive member of the CSA. As Director of Legal Registries, he is also the Inspector of Land Titles for the Northwest Territories and has overall responsibility for the Corporate Registries and Personal Property Registry.

Mr. MacDougall received a Bachelor of Arts degree from the University of Guelph in 1976 and in 1979 obtained a Bachelor of Laws degree from Osgoode Hall Law School. He was called to the Ontario Bar in 1981 and the Northwest Territories Bar in 1982. He is also a member of the Canadian Conference of Land Titles Officials and Canadian Conference on Personal Property Security Law.

Superintendent of Securities
Department of Justice
Government of the Northwest Territories
1st Floor Stuart M. Hodgson Building
5009 - 49 th Street
P.O. Box 1320
Yellowknife, NT X1A 2L9

Sarah P. Bradley

Chair, Nova Scotia Securities Commission
Sarah P. Bradley was appointed Chair and CEO of the Nova Scotia Securities Commission on January 1, 2012, having served as Vice-Chair of the Commission since 2010. In connection with her work with the Commission, Ms. Bradley is a member of the Canadian Securities Administrators’ Policy Coordination Committee and the Joint Forum of Financial Regulators.

In addition to her work with the Commission, Ms Bradley is a Professor of Law at Dalhousie University's Schulich School of Law, teaching and researching in the areas of securities regulation, corporate law and corporate governance. She was educated at the University of Toronto (B.Sc.), Queen’s University (LL.B.) and Harvard Law School (LL.M.). Prior to commencing her academic career, Ms. Bradley practiced law in Toronto and Halifax. She has been called to the bar in Ontario, Nova Scotia and New York.

Nova Scotia Securities Commission
Suite 400, 5251 Duke Street
Halifax (Nova Scotia)
B3J 1P3

Louis Arki

Superintendent of Securities, Nunavut
Mr. Arki is currently the Superintendent of Securities and Director of the Legal Registries Division, Department of Justice, Government of Nunavut.

Mr. Arki was born in Europe and moved to Canada where he obtained his Bachelor’s degree with distinction from the University of Alberta and received his LL.B. from the University of Ottawa. He was called to the Bar of Ontario in 1982 and practiced in Ottawa till 1989 in the areas of litigation and administrative law, at all court levels including the Supreme Court of Canada. He then held a variety of positions in the Ontario public service, including that of Counsel assigned to the Ministry of Consumer and Commercial Relations, until he joined the Legal Registries Division of the Department of Justice, Government of Nunavut in 2006.

Mr. Arki is a member of the Law Society of Upper Canada, the Canadian Association of Corporate Law Administrators, NASAA and the Canadian Conference of Land titles Officials.

Superintendent of Securities
Department of Justice
Government of Nunavut
1st Floor, Brown Building
P.O. Box 1000 - Station 570
Iqaluit, NU X0A 0H0

Honourable Howard I. Wetston, Q.C.

Chair, Ontario Securities Commission
Howard I. Wetston was appointed Chair and CEO of the Ontario Securities Commission (OSC) on November 15, 2010.

Mr. Wetston was the Chair and CEO of the Ontario Energy Board from 2003 until his appointment to the OSC. From 1999 to 2003, he served as a Vice-Chair of the OSC.

From 1993 to 1999, Mr. Wetston served as a Judge of the Federal Court of Canada, Trial Division, and an ex-officio member of the Federal Court’s Appeal Division. From 1989 to 1993, he was the Director of Investigation and Research (now Commissioner of Competition) with the Bureau of Competition Policy.

Previously, Mr. Wetston was in private practice in Ottawa, associated with the firms of Burnet, Duckworth & Palmer in Calgary and Phillips & Vineberg in Montreal. Before entering private practice, he served as General Counsel to the Canadian Transport Commission and as Associate General Counsel to the National Energy Board. Prior to that, Mr. Wetston was the General Counsel to the Consumers Association of Canada. In addition, he was a member of the federal Department of Justice as Crown Counsel and Crown Counsel in the Nova Scotia Attorney General’s Department.

Mr. Wetston was educated at Mount Allison University (B.Sc.) and Dalhousie University (LLB). He was appointed Queen’s Counsel (Q.C.) in 1990 and is a member of the Ontario and Alberta Bars. In 2005, he graduated from the Certified Directors Education Program of the Institute of Corporate Directors (ICD).

Mr. Wetston is a member of the Board of Directors of Mount Sinai Hospital in Toronto.

Ontario Securities Commission
Box 55
Suite 1903 - 20 Queen Street West
Toronto, ON M5H 3S8

Katharine Tummon

Superintendent of Securities
Consumer, Corporate and Insurance Services
Office of the Attorney General
Prince Edward Island
Katharine Tummon has been the Director of the Consumer, Corporate and Insurance Services Division of Prince Edward Island’s Office of the Attorney General since March, 2007. This Division is responsible for the administration of the PEI Securities Act. Prior to her appointment as Director, Ms. Tummon held the position of Corporate Counsel to the Division for 5 years.

Ms. Tummon is a law graduate of the University of Toronto and holds a Master of Arts in Philosophy. Prior to moving to PEI, she was Legal Counsel to the government of the Northwest Territories.

Securities Office
Consumer, Corporate and Insurance Services Division
Office of the Attorney General
95 Rochford Street, P.O. Box 2000
Charlottetown, PE C1A 7N8

Mario Albert

President and Chief Executive Officer, Autorité des marchés financiers
Mario Albert was appointed President and CEO of the Québec Autorité des marchés financiers (AMF) in February 2011.

Mr. Albert joined the AMF in 2007 as Superintendent, Distribution. In 2009, he also assumed responsibility for the agency’s institutional affairs, including communications, research and strategic monitoring. Since February 2010, Mr. Albert has also overseen AMF Client Services, supervising activities pertaining to investor education and awareness programs, fraud victim compensation programs, and complaint examination.

Since his arrival at the AMF, Mario Albert has been involved in numerous initiatives related to securities and insurance, in particular, the implementation of the pan-Canadian registration regime for securities dealers and advisers. In addition to leading consultations to harmonize Québec’s new rules governing the conduct of mutual fund representatives with those applicable elsewhere in Canada, he ensured the updating of career eligibility requirements for insurance representatives. As well, he was tasked with modernizing and integrating the AMF’s business systems (MISA project).

Prior to joining the AMF, Mario Albert was Assistant Deputy Minister responsible for budget policy and economics at the Québec Finance Ministry, where he was primarily responsible for co-ordinating budget preparation. Mr. Albert also served at Finance Canada, mainly as head of economic forecasting.

Mr. Albert holds a bachelor’s and a master’s degree in economics from Laval University.

Autorité des marchés financiers
800, Square Victoria, 22e étage
C.P. 246, Tour de la Bourse
Montréal, QC H4Z 1G3

Dave Wild

Chair, Financial and Consumer Affairs Authority
Mr. Wild was appointed as Chair of the Securities Commission in August 2001. He was appointed as Chair of the Financial Services Commission on February 1, 2003. He is also the Superintendent of Pensions and responsible for the administration of The Pensions Benefits Act in Saskatchewan. Mr. Wild has significant experience as a pension plan administrator in the public sector in Saskatchewan. He has also worked as an asset management consultant providing investment advice to pension plans, and was involved in the establishment of the Saskatchewan Pension Plan.

Mr. Wild is an active member of the Canadian Association of Pension Supervisory Authorities and the Joint Forum of Financial Market Regulators.

Financial and Consumer Affairs Authority 6th Floor 1919 Saskatchewan Drive
Regina, SK S4P 3V7

Fred Pretorius

Superintendent of Securities, Yukon
Mr. Pretorius studied law at the North-West University in South Africa and graduated with a Bachelor of Laws (LL B) in 1990. He was admitted as an Attorney of the High Court of South Africa (Transvaal Provincial Division) in 1993 and also became a member of the Law Society of the Northern Provinces of South Africa. He practised law as an attorney in the law firm of L’Ange, De Waal & Freysen in Klerksdorp from 1993 to 1997. In 1997, he became legal adviser of Sanlam Life Insurance Limited. He was admitted as an Advocate of the High Court of South Africa (Cape of Good Hope Division) in 1999. He successfully completed the professional examinations of the Institute of Life and Pension Advisers in South Africa and qualified as Certified Financial Planner of the Financial Planning Institute of South Africa (affiliated with the FPSB of the US of America) and was a member of the Institute from 2000 – 2005. In 2004, he acquired a Master of Laws degree (LL.M.) from the University of Stellenbosch in South Africa and also became involved as an assistant examiner of the Financial Planning Institute’s professional examinations. He served on several steering committees (business chamber, body corporate, cultural and educational organizations) during his career.

He relocated to Canada during 2007 and joined the Government of Yukon during August 2007. He subsequently became the Director of Corporate Affairs during February 2008 and he is also the Superintendent of Securities in Yukon.

Superintendent of Securities
Community Services
307 Black Street, 1st Floor, Whitehorse, Yukon Y1A 2N1
Courier: 2130 Second Avenue, 3rd Floor
Whitehorse, Yukon Y1A 5H6

For general information, please contact

CSA SECRETARIAT
Tour de la Bourse
800, Square Victoria
Suite 4130
Montreal Quebec H4Z 1J2