Members of the Investor Advisory Panel
The Investor Advisory Panel consists of nine members, including the panel’s chairperson. Each member of the panel is appointed for a two-year term.
Daniel Brunet has served as national director on the board of directors for the National Association of Federal Retirees since 2017. He is a lawyer with over 40 years of experience and previously served on the Disciplinary Council and Equivalences Committee of the Quebec Bar. Prior to his retirement from public service in 2014, he held various positions including: director of legal services at the Office of the Information Commissioner of Canada and crown prosecutor for Gouvernement du Québec, Ministère de la Justice, and for the Ontario attorney general.
Ms. Catellier is co-director of the Investor Protection Clinic at Osgoode Hall Law School where she is also an adjunct professor. The Clinic provides free legal advice to people who believe their investments were mishandled and who cannot afford a lawyer. As co-director of the Clinic she oversees all activities including strategic direction, file management, student supervision and seminar instruction. Ms. Catellier obtained her BCL/LLB degrees from McGill University and was admitted to the Quebec Bar. She is a Fellow of the Chartered Governance Institute, Ms. Catellier is a Member of the Board of Governance Professionals of Canada and currently serves as VP, Corporate Governance at Meridian Credit Union.
Neil Gross, chair
Neil Gross is a capital markets policy consultant and a former executive director of the Canadian Foundation for Advancement of Investor Rights (FAIR Canada). He is a lawyer with over 35 years of experience focused on investor protection issues. Neil also serves as a director of a portfolio management firm, a member of a liquid alternative fund’s independent review committee, a fellow of a national advocacy organization dedicated to elder care public policy, and a freelance opinion columnist for The Globe and Mail newspaper.
Serge Kalloghlian has been a lawyer for over 10 years, with a litigation practice focusing on class actions and investor rights advocacy. He has represented harmed investors in securities class actions and other investor rights litigation through all levels of Ontario’s courts and the Supreme Court of Canada.
Ms. Kapoor is the founder and principal of Aurelius GRP, an investment governance, regulatory and policy consultancy. As a regulatory consultant Ms. Kapoor provides advice and guidance to develop effective compliance programs, operational infrastructures, and robust governance structures to ensure investor needs and interests are being appropriately met. Ms. Kapoor has over 20 years experience in securities regulatory compliance, including as Chief Compliance Officer and a member of management of multiple registered firms.
Ms. Lam is the director of the recently-launched University of Toronto Investor Protection Clinic, which provides free legal services and public legal education to members of vulnerable communities who are at risk of suffering harm, or may have suffered harm, relating to their investments. The Clinic engages in a broad range of activities to educate the community and promote investor protection and rights. Ms. Lam is a senior lawyer with over 20 years experience in private practice at top law firms and as in-house counsel.
Cary List most recently served as President & CEO of FP Canada, the non-profit body that confers CFP and QAFP certification, before retiring after 21 years with the organization. In his role, Mr. List worked to elevate the professional standards, proficiencies and competencies of financial planners and make financial planning more accessible for all Canadians. In 2021, he was recognized for lifetime achievement for his contributions to the financial planning profession. A strong advocate for greater financial literacy and empowerment, Mr. List served on the inaugural National Steering Committee for Financial Literacy. Mr. List holds the FCA, FCPA and CFP designations and the FP Canada Fellow distinction.
James (Jim) Sinclair
Jim Sinclair has over 35 years of experience providing legal services in a wide variety of capital markets settings, including a focus on investor protection and issues facing investors. Most recently, he served as General Counsel at Common Wealth, a company that offers a digital retirement platform to help Canadians achieve their retirement goals. He served for over five years as the General Counsel at the Ontario Securities Commission, and was also acting Director of Enforcement at the OSC, where he helped usher in the OSC Whistleblower Program. Prior to joining the OSC, Jim was the Director of Legal Services at the Ontario Ministry of Finance, where he was engaged in significant securities, pension, insurance and tax reform. Before joining the Ministry, Jim held senior legal and compliance roles in the public and private sectors.
Leslie Wood is a chartered professional accountant and former senior executive in the investment fund industry and brings over 25 years of experience to the IAP. She has successfully completed several mutual fund acquisitions, product re-engineerings, systems integrations, and conversions, brand and distribution developments, and oversights of all back-office operations and new product launches. Leslie retired in 2016 and now serves on multiple independent review committees.