The Investor Advisory Panel consists of nine members, including the Panel Chair. Each member of the Panel has been appointed for a two-year term.
- Jacqueline Allen
- Larry Bates
- Connie Craddock
- Letty Dewar, Chair
- Harold Geller
- Malcolm Heins
- Ken Kivenko
- Alison Knight
- Louise Tardif
(Effective November 1, 2017)
Jacqueline Allen brings 25 years of experience in capital markets and financial services including tax, accounting and risk management. Her professional career spans from New York to Toronto with roles at KPMG, SK Group, and Bank of America Merrill Lynch. Ms. Allen most recently served as the Head of Portfolio and Electronic Trading Sales at Bank of America Merrill Lynch Canada, with a focus on institutional asset managers, pension funds and mutual funds investors.
Ms. Allen holds an MBA from the New York University Stern School of Business.
Larry Bates has spent 30 years in the fixed income markets, holding key positions at major financial institutions in both Canada and the United Kingdom. He has recently shifted his focus to investor advocacy with the launch of his website, wealthgame.ca, focused on providing Canadians with a better understanding of investment basics.
Mr. Bates is the creator of the ‘T-REX’ score, which is a value used to express an investor’s total investment gain after all fees are paid.
As the former Vice-President of Public Affairs at the Investment Industry Regulatory Organization of Canada (IIROC), Ms. Craddock has considerable experience with issues related to Canadian investors. Ms. Craddock also has experience in consulting and communications in both corporate and government settings.
Since retiring from IIROC, Ms. Craddock joined the Board of Gilda’s Club, a non-profit organization dedicated to helping individuals touched by cancer. She also does volunteer work in adult literacy.
Ms. Craddock has a Master’s Degree from Concordia University and Degrees from McGill University and Universite de Montreal.
Mrs. Dewar has been active in the financial industry since 1984, and has a thorough understanding of the mutual funds sector and capital markets. Her experience includes financial planning, Group RSP product design, compliance and operations. She served as Chief Compliance Officer for a major mutual fund company. Subsequently she was the Chief Operations Officer for a portfolio management group that managed approximately $19 billion of mutual fund assets.
Since her retirement, Mrs. Dewar sits on the CFA Society Toronto’s Portfolio Management Committee (Chair September 2014-16). She is a member of the CFA Institute, the CFA Society Toronto and the Genesis Club of Toronto.
Mrs. Dewar holds the CFA designation, a M.B.A. from York University and a Bachelor of Commerce degree from the University of Toronto.
Harold Geller is a leader in Financial Loss Recovery Group of McBride Bond Christian LLP and an expert on legal issues affecting financial advisors. Mr. Geller assists investors with the analysis of claims and where appropriate, the prosecution and settlement of claims in the civil courts and the Ombudsman for Banking Services and Investments (OBSI). Mr. Geller is a well known consumer’s advocate with respect to investor issues as well as a financial industry commentator and a continuing education provider.
Mr. Geller was a 14 year elected member of the Canadian Bar Association (Ontario) and received his L.L.B. from Dalhousie University. He currently sits on the Canadian Bar Association’s Elder Law Executive Committee.
Malcolm Heins is currently a director of Lawyers’ Professional Indemnity Company, the Ontario Municipal Insurance Exchange, Cancer Care Ontario and a lawyer with over 40 years’ experience, over which he has received numerous awards for his contribution to the legal profession, including the Law Society Medal from the Law Society of Upper Canada and the Metro Toronto Lawyers Association Award of Distinction.
He is the former Chair of the Ontario Expert Committee to Consider Financial Advisory and Financial Planning Policy Alternatives, and the former CEO of the Law Society of Upper Canada.
As a renowned investor advocate, Mr. Kivenko brings extensive experience of research and advocacy in retail investor issues. He is the president and owner of Kenmar which assists investors with dispute resolution. He has also established a well-used web-site www.canadianfundwatch.com.
Mr. Kivenko holds a Bachelor of Science in Engineering Electronics and a Diploma in Management from McGill University and is a Fellow in the American Society for Quality Control, a Member of the Association of Engineers of Ontario, and is the Chair of the Advisory Committee of the Small Investor Protection Association.
Alison Knight has demonstrated a career-long commitment to consumer advocacy and stakeholder engagement. Ms. Knight is a life member and former board member of the Consumers Council of Canada. She has served on the boards of numerous professional, regulatory and non-profit organizations and held senior executive positions with companies in the financial services sector.
Ms. Knight received her Bachelor of Commerce degree from Queen’s University and is a Fellow of the Institute of Chartered Professional Accountants of Ontario.
Ms. Tardif was an investment advisor for 22 years until her retirement in 2008 from National Bank Financial, where she was also manager of their Ottawa branch. She currently sits on several boards including the Board of Trustee of OP Trust, a pension plan with over $16 billion in assets. Ms. Tardif also chairs the board of the Youth Services Bureau of Ottawa and just ended a mandate as a Governor of the University of Ottawa where she chaired the Finance and Treasury Committee.
Ms. Tardif has a Bachelor of Commerce and a M.A. in Religious Study from the University of Ottawa. She is currently a PhD. candidate at the same institution.
New Members(Effective November 1, 2017)
Paul Bates has been a lawyer for over 30 years, with a diverse legal practice concentrating on complex commercial litigation, including securities litigation and claims against financial advisors and portfolio managers. He currently focuses on investor protection from the point of view of retail and institutional investors.
Mr. Bates has volunteered as a member of both the Consumer Council of Canada’s Board of Directors and the Financial Services Tribunal’s Legal Advisory Committee.
Patti Best is a former senior executive in the investment industry, bringing over 40 years of experience from senior-level positions with brokerage firms, mutual fund dealerships and investment fund companies. She has a diverse background in client relations, investment product operations and administration, as well as systems and product development.
In 2016, Ms. Best retired from her position as Senior Vice President, Client Experience from Mackenzie Investments.
Neil Gross is the former Executive Director of the Canadian Foundation for Advancement of Investor Rights (FAIR Canada) and a lawyer with over 30 years of experience, focusing on investor protection issues. He currently runs Component Strategies, a strategic consulting firm focused on public policy issues, responses to capital markets regulation and developing bi-partisan initiatives that benefit the investment community.
Harvey Naglie holds over 40 years of experience in both the public and private sectors, with a focus on financial services. He is a former Senior Policy Advisor for the Ontario Ministry of Finance’s Financial Services Policy Division, where he participated in developing and implementing policies related to securities regulation and investor protection.
Mr. Naglie holds an LL.M. in securities law from York University, an MBA from the University of Western Ontario Ivey School of Business and an MA in economics from Johns Hopkins University.