Registry of Lobbyists
Version 1 of 14 (1997-02-21 to 1997-10-27) was submitted prior to the Lobbying Act coming into force on July 2, 2008. Due to different information requirements at that time, the registration is presented in the following format.
| Organization: |
INVESTMENT DEALERS ASSOCIATION OF CANADA
1600 - 121 KING STREET WEST TORONTO, ON M5H 3T9 Canada |
| Telephone number: | 416-364-6133 |
| Fax number: | 416-364-0753 |
| Responsible officer name and position during the period of this registration: | JOSEPH J OLIVER, PRESIDENT & CEO |
| Description of the organization's activities: | OUR DUAL ROLES AS AN INDUSTRY REGULATOR & TRADE ASSOCIATION ARE COMPLEMENTARY. AS THE NATIONAL SELF-REGULATORY ORGANIZATION OF THE CDN SECURITIES INDUSTRY, THE IDA MONITORS MEMBER FIRMS FROM COAST TO COAST IN TERMS OF BOTH THEIR CAPITAL ADEQUACY & CONDUCT OF BUSINESS. THE QUALIFYING & REGISTERING PROCESS OF THESE FIRMS ALSO IS OUR RESPONSIBILITY. INVESTOR PROTECTION IS A TOP PRIORITY FOR US AS IT IS FOR THE MONTREAL, TORONTO, ALBERTA, & VANCOUVER STOCK EXCHANGES WHICH ALSO MONITOR SOME MEMBER FIRMS IN THEIR RESPECTIVE REGIONS. HOWEVER, AS THE COUNTRY'S ONLY NATIONAL SRO, THE IDA HAS AN ADDITIONAL RESPONSIBILITY TO LISTEN TO THE VIEWS OF PEOPLE IN ALL PARTS OF THE COUNTRY, & TO ENSURE THESE VARIOUS PERSPECTIVES ARE TAKEN INTO ACCOUNT WHEN FORMULATING NATIONAL POLICIES & RULES GOVERNING INDUSTRY PRACTICES & STANDARDS. THIS NATIONAL SELF-REGULATORY FUNCTION OBVIOUSLY CONTRIBUTES TO OUR EFFECTIVENESS AS A TRADE ASSOCIATION DURING ADVOCACY WORK ON BEHALF OF THE SECURITIES INDUSTRY. ... |
| Organization's membership or classes of membership: | ... FROM THE UNCOMMON VIEWPOINT OF REGULATORY RESPONSIBILITY & EXPERIENCE, WE ARE ABLE TO BRING FORWARD CONSTRUCTIVE RECOMMENDATIONS TO THE FEDERAL & PROVINCIAL GOVERNMENTS ON A WIDE RANGE OF POLICY ISSUES THAT IMPACT THE BROADER PUBLIC GOOD.ONLY ONE CLASS - FULLY PARTICIPATING (VOTING) MEMBER ALL MEMBERS ARE PROVINCIALLY REGISTERED AS "INVESTMENT DEALERS" |
| Was the organization funded in whole or in part by any domestic or foreign government institution in the last completed financial year? | No |
| Name: | THOMAS DALZELL |
| Position title: | VICE-PRESIDENT, GOVT & MEMBER RELATIONS |
| Public offices held: | N/A. Disclosure of this information was not a requirement prior to June 20, 2005. |
| Name: | IAN RUSSELL |
| Position title: | SENIOR VICE-PRESIDENT, CAPITAL MARKETS |
| Public offices held: | N/A. Disclosure of this information was not a requirement prior to June 20, 2005. |
| Federal departments or organizations which have been or will be communicated with during the course of the undertaking: | Bank of Canada, Finance Canada (FIN) |
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Communication techniques that have been used or are expected to be used in the course of the undertaking:
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Meetings, Telephone calls, Written communications, whether in hard copy or electronic format |
| Subject Matter: Areas of Concern: | CAPITAL MARKETS, Financial Institutions, Taxation and Finance |
| Subject Matter: Retrospective: | SEPTEMBER - OCTOBER 1996: OSFI FUNDING RESTRICTIONS ON FOREIGN NEAR-BANKS (APPEARANCE BEFORE SENATE BANKING COMMITTEE & COMMONS FINANCE COMMITTEE).DECEMBER 1996: PRE-BUDGET CONSULTATIONS & DISCUSSION ON PROPOSED CANADIAN SECURITIES COMMISSION WITH THE MINISTER OF FINANCE.SEMI-ANNUAL MEETINGS WITH BANK OF CANADA OFFICIALS TO DISCUSS MONETARY POLICY AND CAPITAL MARKET ACTIVITIES OF THE BANK & IDA MEMBERS. |
| Subject Matter: Prospective: | PRE-BUDGET CONSULTATIONS & DISCUSSION ON PROPOSED CANADIAN SECURITIES COMMISSION WITH THE MINISTER OF FINANCE.SEMI-ANNUAL MEETINGS WITH BANK OF CANADA OFFICIALS TO DISCUSS MONETARY POLICY AND CAPITAL MARKET ACTIVITIES OF THE BANK & IDA MEMBERS. |