Senior Associate, Registrations
Wendyanne D'Silva has over 20 years’ experience in Canadian securities regulation having worked for the Toronto Stock Exchange, the Investment Dealers Association and the Investment Industry Regulatory Organization of Canada, including 10 years as the Director of IIROC's Registration department. She has been a guest speaker at presentations and conferences both in Canada and the US regarding registration issues, and rule changes.
Ms D’Silva is considered a subject matter expert on IIROC policies, standards, guidelines and controls for registration, supervisory requirements and continuing education.
- Dealers looking for both training and tactical deliveries relating to registration requirements.
- Advisors seeking an exemption from standard proficiency requirements.
- Mutual Fund dealers seeking to set up Continuing Education tracking and procedures.
B.A. Political Science, University of Waterloo
Canada Securities Course, CSI
RR's Handbook Course, CSI
The Canadian Options Course, CSI
The Canadian Futures Exam, CSI
Leadership Through Teambuilding, Schulich School of Business
Facilitative Leadership, Schulich School of Business
Anti-Money Laundering & Terrorist Financing (AML/ATF) for Securities Professionals, CSI
Chief Compliance Officers Qualifying Examination, CSI
Six Sigma Yellow Belt