647.502.5113

Wendyanne D’Silva

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.

Focus Areas

 

  • 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.

Education

Diplomas

B.A. Political Science, University of Waterloo

Certifications

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

Partners, Directors & Senior Officers Exam, CSI

 

Email: Wendyanne@alchemytheorem.com