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Ontario
Securities
Commission


Floor 22 - 20 Queen Street West
Toronto, Ontario
M5H 3S8
Commission des
valeurs mobilières
de l'Ontario
FOR IMMEDIATE RELEASE

September 12, 2018


OSC Announces Seniors Expert Advisory Committee Members for 2018-2019


TORONTO - The Ontario Securities Commission (OSC) today announced the new membership of its Seniors Expert Advisory Committee (SEAC).

The SEAC advises OSC staff on securities-related policy, operational, education and outreach activities of the OSC designed for older investors. OSC staff recognize the importance of consulting with a multidisciplinary group of seniors’ experts who can provide staff with specialized input to support ongoing efforts and to better understand the unique needs of older investors.

Chaired by Tyler Fleming, Director of the Investor Office, the SEAC will meet approximately four to six times per year, with members serving a one-year term. The Committee’s new members are:

Dr. Joe Bornstein
Dr. Lee Anne Davies
Arthur Fish
Harold Geller
Marta C. Hajek
Kelley Keehn
Sidney Peters
Lindsay Rogan
Keith Sjogren
Dr. Laura Tamblyn Watts
Danielle Tetrault
James Turner
Minal Upadhyaya
Kimberly Whaley
Terri Williams



Biographical notes

Dr. Joe Bornstein

Dr. Joe Bornstein is the Managing Director and Founder of Health Innovations Group. He is a recognized leader in aging and geriatrics with a strong focus on issues related to aging, healthy retirements and prevention of elder abuse. Dr. Bornstein is a former Chair of Elder Abuse Ontario as well as Past-President of the Ontario Gerontology Association. He has also served on the boards of the Toronto Regional Geriatric Program and the Oshawa Senior Citizens Centres.

Dr. Lee Anne Davies

Dr. Lee Anne Davies is a Management Consultant with Gevity Consulting Inc. and an expert on issues related to health, social services and life sciences. Dr. Davies previously worked in several roles in the financial industry, and as former head client strategist at RBC DS and RBC Banking, her work involved educating older Canadians on retirement planning and retirement income. Most recently, she collaborated with the BC Ministry of Health on provincial legislative change on cognitive health and decision-making. Her PhD in Aging, Health and Wellbeing focused on the financial vulnerabilities of adults age 55+ who experience cognitive changes affecting financial and legal decisions.

Arthur Fish

Arthur Fish is a lawyer at Borden Ladner Gervais LLP with over 25 years of experience working with elderly clients in both the public and private sectors. He previously worked with the Mental Competency Clinic at the Baycrest Centre for Geriatric Care, served as Chair of the Ontario Mental Health Foundation, and was a member of the Consent and Capacity Board.

Harold Geller

Harold Geller leads the Financial Loss Recovery Group of MBC Law Professional Corporation as an expert on legal issues affecting investors and those with life insurance. He serves on the Ombudsman for Banking Services and Investments (OBSI) Consumer and Investor Advisory Council and is an executive committee member of the Canadian Bar Association’s Elder Law Section, and the Ontario Bar Association’s Elder Law and Insurance Committees. Harold is a former member of the OSC’s Investor Advisory Panel.

Marta C. Hajek

Marta C. Hajek is the Director of Operations with Elder Abuse Ontario (EAO), an organization mandated to oversee the implementation of the Ontario Strategy to Combat Elder Abuse. Prior to joining EAO, Marta coordinated the rollout of the 211 Information and Referral Service in Ontario and served as the Executive Director of the Ontario Gerontology Association.

Kelley Keehn

Kelley Keehn is a Consumer Advocate with the Financial Planning Standards Council where she collaborates with stakeholders, financial literacy leaders and personal finance experts to develop and promote its several financial literacy resources.  Kelley also founded two personal finance education and retirement planning companies, and held several roles in the financial services industry including as Personal Investment Manager and Executive Banker at Scotiabank and Canada Trust respectively.  She is the best-selling, award-winning author of nine books including her newest book, Protecting You and Your Money; A Guide to Avoiding Identity Theft and Fraud. Kelley serves as a member of FCAC’s Consumer Protection Advisory Committee, and National Steering Committee for Financial Literacy, and serves on the Board of Directors of Money Mentors.

Sidney Peters

Sidney Peters is Counsel and Team Leader within the Legal Services Branch of the Office of the Public Guardian and Trustee’s (OPGT) Victims and Vulnerable Persons Division of the Ministry of the Attorney General. Sidney has supported the OPGT’s mandate to protect the financial and legal affairs of incapable adults and seniors in many ways, most recently through her role on the Executive Steering Committee of the OPGT’s initiative to modernize its services to its vulnerable clients.

Lindsay Rogan

Lindsay Rogan represents the Portfolio Management Association of Canada (PMAC) where she serves on the PMAC Practices and Standards Committee. Lindsay also serves as the Managing Director and Chief Compliance Officer of Rogan Investment Management Limited where she works with senior clients and their families, dealing with planning, trust, estate and tax issues.

Keith Sjogren

Keith Sjogren is the Managing Director, Consulting Services at Investor Economics. He leads the firm’s consulting projects for major banks, insurance companies, asset managers and industry associations, including research services to the financial services industry. Prior to joining the consulting profession in 1995, Keith held various executive-level positions with CIBC in Canada and overseas. He serves on several non-profit organizations' boards including the Award Jury of the Award in Investment Journalism at PMAC.

Dr. Laura Tamblyn Watts

Dr. Laura Tamblyn Watts is a lawyer who focuses on elder issues and is the Chief Public Policy Officer at CARP. She is also a senior fellow at the Canadian Centre for Elder Law and a past long-time national director. Dr. Tamblyn Watts is the past Chair of the Canadian Bar Association’s National Elder Law section. She is also a board and founding member of the National Initiative for the Care of the Elderly (NICE) network, a co-facilitator of the World Study Group on Elder Law, a member of the OBSI Board of Directors and former board member of FAIR Canada.

Danielle Tetrault

Danielle Tetrault is the Assistant Vice-President, Compliance Investigations and Chief Compliance Officer at Investors Group Financial Services Inc. As part of her responsibilities in these roles, Danielle led the Seniors and Vulnerable Clients Working Group that reviews and monitors regulatory developments, industry trends and best practices to develop and implement policies, procedures, education and training resources to better serve and protect senior and vulnerable clients. She is also a member of the Investment Funds Institute of Canada‘s (IFIC) Vulnerable Investors Task Force.

James Turner

James (Jim) Turner is a corporate and securities lawyer with more than forty years’ experience in the securities regulatory sector and private practice. Jim served as the OSC’s Vice Chair for eight years prior to his retirement in 2015. In the past few years, Jim has been focusing on the issues many seniors face in retirement and is passionate about contributing his securities law knowledge and experience to understand where those issues may intersect with the securities regulatory regime.

Minal Upadhyaya

Minal Upadhyaya is Vice President, Policy and General Counsel at IFIC, where she leads the team responsible for the legal needs of the organization and the development of policy positions and responses to regulatory proposals. Minal has extensive experience in advising registered representatives working with aging investors, including issues related to Powers of Attorney and mental health, during her thirteen years’ experience working in the financial services industry. She currently serves as a member of the Board of Directors of OakMed Family Health Team.

Kimberly Whaley

Kimberly Whaley is the Founder and Principal of Whaley Estate Litigation Partners, which focuses on the resolution of estate and related disputes throughout Ontario. Kimberley participated at both the OSC’s, and the Ontario Seniors Secretariat’s Seniors Roundtables, and consulted on the Law Commission of Ontario’s recommendations on the “Last Stages of Life” project. She is also a co-civilian Chair of the Toronto Police Seniors Committee, a member of various elder law trusts and legal professional associations, and a distinguished fellow of the Canadian Centre for Elder Law.

Terri Williams, CFP®
 
Terri Williams, CFP® has over thirty years’ experience in the financial services and investment regulatory areas where she was regarded as an investor advocate. Prior to retiring in 2017 as Vice President, Corporate Social Responsibility at Scotiabank, Terri held several senior management roles, including the President of the OSC’s Investor Education Fund (IEF), where she led the development and implementation of several financial literacy resources and programs for investors, including seniors. She is currently an independent consultant, and a volunteer Board Member of Credit Canada Debt Solutions and the Canadian Foundation for Economic Education. She is a former member of IFIC’s Vulnerable Investors Task Force.

 

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The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices and to foster fair and efficient capital markets and confidence in the capital markets, and to contribute to the stability of the financial system and the reduction of systemic risk. Investors are urged to check the registration of any persons or company offering an investment opportunity and to review the OSC investor materials available at www.osc.gov.on.ca.

 

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