Lou D'souza
17 years experience as a Chief Compliance Officer and General Counsel at two securities dealers. Most recently at... | Toronto, Ontario, Canada
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Lou D'souza’s Emails lo****@sy****.ca
Lou D'souza’s Phone Numbers No phone number available.
Social Media
Lou D'souza’s Location Toronto, Ontario, Canada
Lou D'souza’s Expertise 17 years experience as a Chief Compliance Officer and General Counsel at two securities dealers. Most recently at RBC (Capital Markets) where I was CCO and oversaw a team of 30 with 5 direct reports in: Control Room; Equity Advisory; Fixed Income, Currencies and Commodities; Central Funding / Global Equity Linked Products; and Regulatory Inquiries. Sole Canadian appointed by the IIROC National Hearing Coordinator and FINRA Office of Hearing Officers to adjudicate, as an Industry member, regulatory enforcement matters. Elected Executive Committee member of IIROC Compliance and Legal Section. Elected Member of IIROC Ontario District Council. Elected Member of IIROC Market Rules Advisory Committee. Member of IIROC CLS Sub-Committee re R. 3400. Member of IIAC IIROC Enforcement Rules Working Group. Member of IIROC Conduct and Practices Working Group. American financial services qualifications (FINRA) include: General Securities Representative (series 7); Uniform Securities Agent (series 63), Research Analyst (series 87); and General Securities Principal (series 24). Canadian financial services (IIROC) qualifications include: Canadian Securities Course; Conduct and Practices Handbook course; Chief Compliance Officer course; and Partners, Directors and Officers course. Dual regulatory registration as well as a law degree - member in good standing of the Law Society of Ontario. Currently sit on the Board of Directors and Governance Committee at the York School.
Lou D'souza’s Current Industry Ci Financial
Lou
D'souza’s Prior Industry
Hughes Amys
|
Ogilvy Renault
|
Heenan Blaikie
|
Cormark Securities
|
Iiroc And Finra
|
Rbc Capital Markets
|
Cibc Capital Markets
|
Ci Financial
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Work Experience
Ci Financial
Chief Compliance Officer
Mon May 01 2023 00:00:00 GMT+0000 (Coordinated Universal Time) — Present
Cibc Capital Markets
Chief Compliance Officer (Interim), Capital Markets
Wed Jun 01 2022 00:00:00 GMT+0000 (Coordinated Universal Time) — Sat Apr 01 2023 00:00:00 GMT+0000 (Coordinated Universal Time)
Cibc Capital Markets
Senior Director, Global Markets Compliance
Sat May 01 2021 00:00:00 GMT+0000 (Coordinated Universal Time) — Sat Apr 01 2023 00:00:00 GMT+0000 (Coordinated Universal Time)
Rbc Capital Markets
Managing Director, Chief Compliance Officer (Capital Markets)
Sun Apr 01 2018 00:00:00 GMT+0000 (Coordinated Universal Time) — Fri May 01 2020 00:00:00 GMT+0000 (Coordinated Universal Time)
Iiroc And Finra
Industry Enforcement Hearing Panelist
Sun Mar 01 2015 00:00:00 GMT+0000 (Coordinated Universal Time) — Present
Cormark Securities
Director, Chief Compliance Officer
Tue Feb 01 2005 00:00:00 GMT+0000 (Coordinated Universal Time) — Sun Apr 01 2018 00:00:00 GMT+0000 (Coordinated Universal Time)
Heenan Blaikie
Associate Lawyer
Wed Jan 01 2003 00:00:00 GMT+0000 (Coordinated Universal Time) — Thu Jan 01 2004 00:00:00 GMT+0000 (Coordinated Universal Time)
Ogilvy Renault
Associate Lawyer
Mon Jan 01 2001 00:00:00 GMT+0000 (Coordinated Universal Time) — Wed Jan 01 2003 00:00:00 GMT+0000 (Coordinated Universal Time)
Hughes Amys
Associate Lawyer
Thu Jan 01 1998 00:00:00 GMT+0000 (Coordinated Universal Time) — Mon Jan 01 2001 00:00:00 GMT+0000 (Coordinated Universal Time)Skills
Languages
Lou D'souza Email Addresses
FAQ About Lou D'souza
-
Lou D'souza is located at
Toronto, Ontario, Canada -
Lou D'souza is a
17 years experience as a Chief Compliance Officer and General Counsel at two securities dealers. Most recently at RBC (Capital Markets) where I was CCO and oversaw a team of 30 with 5 direct reports in: Control Room; Equity Advisory; Fixed Income, Currencies and Commodities; Central Funding / Global Equity Linked Products; and Regulatory Inquiries. Sole Canadian appointed by the IIROC National Hearing Coordinator and FINRA Office of Hearing Officers to adjudicate, as an Industry member, regulatory enforcement matters. Elected Executive Committee member of IIROC Compliance and Legal Section. Elected Member of IIROC Ontario District Council. Elected Member of IIROC Market Rules Advisory Committee. Member of IIROC CLS Sub-Committee re R. 3400. Member of IIAC IIROC Enforcement Rules Working Group. Member of IIROC Conduct and Practices Working Group. American financial services qualifications (FINRA) include: General Securities Representative (series 7); Uniform Securities Agent (series 63), Research Analyst (series 87); and General Securities Principal (series 24). Canadian financial services (IIROC) qualifications include: Canadian Securities Course; Conduct and Practices Handbook course; Chief Compliance Officer course; and Partners, Directors and Officers course. Dual regulatory registration as well as a law degree - member in good standing of the Law Society of Ontario. Currently sit on the Board of Directors and Governance Committee at the York School. Ci Financial -
Lou D'souza currently works in the
Ci Financial -
Lou D'souza specializes in
17 years experience as a Chief Compliance Officer and General Counsel at two securities dealers. Most recently at RBC (Capital Markets) where I was CCO and oversaw a team of 30 with 5 direct reports in: Control Room; Equity Advisory; Fixed Income, Currencies and Commodities; Central Funding / Global Equity Linked Products; and Regulatory Inquiries. Sole Canadian appointed by the IIROC National Hearing Coordinator and FINRA Office of Hearing Officers to adjudicate, as an Industry member, regulatory enforcement matters. Elected Executive Committee member of IIROC Compliance and Legal Section. Elected Member of IIROC Ontario District Council. Elected Member of IIROC Market Rules Advisory Committee. Member of IIROC CLS Sub-Committee re R. 3400. Member of IIAC IIROC Enforcement Rules Working Group. Member of IIROC Conduct and Practices Working Group. American financial services qualifications (FINRA) include: General Securities Representative (series 7); Uniform Securities Agent (series 63), Research Analyst (series 87); and General Securities Principal (series 24). Canadian financial services (IIROC) qualifications include: Canadian Securities Course; Conduct and Practices Handbook course; Chief Compliance Officer course; and Partners, Directors and Officers course. Dual regulatory registration as well as a law degree - member in good standing of the Law Society of Ontario. Currently sit on the Board of Directors and Governance Committee at the York School. -
Lou D'souza speaks the following languages:
No languages available. -
Lou D'souza has prior experience in the following industries:
Cibc Capital Markets , Cibc Capital Markets , Rbc Capital Markets , Cormark Securities , Heenan Blaikie , Ogilvy Renault , Hughes Amys -
Lou D'souza has the following professional experience:
Ci Financial , Cibc Capital Markets , Cibc Capital Markets , Rbc Capital Markets , Iiroc And Finra , Cormark Securities , Heenan Blaikie , Ogilvy Renault , Hughes Amys . -
You can view Lou D'souza’s
LinkedIn profile at LinkedIn URL. -
Lou D'souza’s work email addresses are
[email protected] . -
Lou D'souza works at
Ci Financial
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