WAISC 2014 Sponsors


KPMG's Financial Services Practice consists of more than 600 experienced professionals across Canada. With access to one of the largest global industry networks we offer customized, industry-focused Audit, Tax, and Advisory services. Our Financial Services teams have the experience, technical skills and industry focus to help clients address and overcome sector-specific business challenges. We help to clarify the issues and enhance competitive advantage.

Our Financial Services practice comprises four areas of focus:
• Banking
• Asset Management & Alternative Investments
• Insurance
• Investment Dealers
KPMG’s dedicated and results oriented approach can see you through your toughest business challenges. With our dynamic portfolio, we can help our clients realize their potential.


BMO Capital Markets is a Canadian prime brokerage leader and provides full service prime brokerage to a diverse group of hedge funds, institutions and family offices ranging from start-ups to multi-billion dollar funds.

BMO’s award winning Prime Brokerage platform has delivered services to a diverse client base since 1990. Our longstanding commitment to the alternative investment industry ensures that we actively support prime brokerage clients at all levels of the organization:

  • A relationship with BMO Prime Brokerage ensures outstanding Client Service including individual attention, global operational depth and client confidentiality.

  • We offer bulge bracket Equity Finance Capabilities with the focus of a boutique firm with 24-hour coverage in North America, Europe and Asia, ensuring broad access to difficult to borrow securities and effective protection from recalls.

  • We provide a full Electronic Trading suite with intelligent liquidity-seeking strategies, and access to all important North American markets, ATSes and dark pools. Our team act as market structure and execution consultants, and can provide in depth post-trade analytics.

  • Our customizable Technology and Reporting platform meets our clients’ individual requirements through a robust suite of reports and high-level functionality.

  • Through our Capital Introduction program, BMO Capital Markets provides capital raising opportunities through multiple levels of customized support including publications, events and one-on-meetings for institutional and retail investors.

Please contact BMOPrimeBrokerage@bmo.com for more information about our offering.

BMO Capital Markets is a member of BMO Financial Group (NYSE, TSX: BMO), one of the largest diversified financial services providers in North America with US$544 billion total assets and more than 46,500 employees as at January 31, 2013. For more information, visit www.bmocm.com.

TSX Private Markets, which is expected to launch in the fall of 2014, is a dealer-to-dealer service that facilitates capital formation and secondary trading of both private and public companies in Canada’s exempt market, including:

  • Capital formation for private issuers;

  • Facilitation of public issuers’ private placements;

  • Secondary trading of exempt market securities.

This new offering will use a voice-brokered service and complementary website to connect approved participants to unique investment and trading opportunities. Through TSX Private Markets, registered dealers, exempt market issuers, portfolio managers, fund managers and institutional permitted clients will broaden their investment reach and increase portfolio liquidity.
For more information, visit
tsxprivatemarkets.com or call 1 800 268-9301.
TSX is a trademark of TSX Inc. © 2014 TSX Inc.


Borden Ladner Gervais LLP (BLG) is a pre-eminent full-service, national law firm focusing on business law, commercial litigation and intellectual property solutions for our clients. With more than 750 lawyers, intellectual property agents and other professionals in six Canadian cities, BLG assists clients with their legal needs, from major litigation to financing and patent registration.
The Investment Management Group at BLG consists of a team of over 50 lawyers located in offices across Canada who understand the business, regulatory and administrative issues that face participants in the Canadian investment management industry. We have the largest and most experienced investment management practice in Canada, having provided legal services to Canadian and international industry participants for over 50 years. For further information, visit the Investment Management Group page on

Olympia Trust is a non-deposit taking trust company headquartered in Calgary, Alberta with offices in Vancouver, Edmonton, Winnipeg, and Montreal. Recognized for professionalism and expertise, we provide personalized, one-on-one service to individuals interested in investing in both traditional and alternative financial products, with a particular focus on investments in the Exempt Market.
We are a wholly owned subsidiary of Olympia Financial Group Inc. (TSXV: OLY). Founded in 1996, we are regulated under the Loan and Corporations Act (Alberta) and registered to offer our services in Alberta, British Columbia, Saskatchewan, Manitoba, Quebec, Nova Scotia, Prince Edward Island and Newfoundland. We are proud to be recognized as one of Profit Canada Magazine’s 100 Top 200 Growth Companies three years in a row, and to be named one of Alberta’s Top 60 Employers twice.
We are an administrator, assisting investors by holding their funds and securities in trust, processing investment transactions as instructed, issuing tax documentation, record-keeping, and much more. Investors generally come to us through a Financial Professional, who provides them with investment advice. We play a critical role in facilitating transactions between several stakeholders, including investors, financial professionals, issuers and dealers in the Exempt Market.

The Olympia Group consists of 4 core businesses:

1. Registered Plans & Tax-Free Saving Accounts
2. Foreign Exchange Services –multinational corporations handling the full range of their foreign currency needs
3. Corporate & Shareholder Services
4. Olympia Benefits Inc.

As an Exempt Market Dealer (EMD), Sloane Capital is committed to helping investors reach their financial goals and build wealth through a diverse selection of private investment opportunities, suitable financial guidance and exceptional service.
Sloane Capital is quickly growing into one of Canada’s largest EMDs offering a diverse selection of income and growth investment opportunities as well as wealth management to qualified investors in most Canadian jurisdictions.
"Investors can realize a more balanced portfolio without all of their exposure being in the public markets." - Stephen Freedman, President and CEO.
Sloane Capital boasts some of the most knowledgeable and professional advisors in the industry. Our team of Dealing Representatives expands across eight Canadian provinces; British Columbia, Alberta, Saskatchewan, Manitoba, Nova Scotia, Ontario, Quebec, Newfoundland and Labrador.
Through our vast experience and knowledge our goal is to work with you to clarify your financial goals and present you with an array of investment opportunities that best meet your investing objectives. We strive to provide full transparency on all product offerings in alignment with our core values of integrity, experience and due diligence.

Walkers is a leading International Financial Centre law firm and a member of the International Financial Centres Forum (IFC Forum). From our offices in the British Virgin Islands, the Cayman Islands, Dubai, Dublin, Hong Kong, Jersey, London and Singapore, we provide legal services to FORTUNE 100 and FTSE 100 global corporations and financial institutions, capital markets participants, investment fund managers and middle market companies.
Our global presence means we are always accessible to our clients in all time zones.


Ara Compliance Support provides independent registered firms with an outsourced fully functioning compliance department.
Our goal is to put independent firms on par with their national and major regional competitors by providing ongoing access to compliance knowledge, experience and judgment.
The Compliance Support Program is exclusive to Ara and was developed to address the unique needs of independent Portfolio Managers, Investment Fund Managers and Exempt Market Dealers.
The Ara team of professionals serves as a virtual head office compliance department in support of the firm's designated Chief Compliance Officer. We provide an organized and rational process for managing compliance, so that management can focus on running its business.
Our Compliance Support Program includes:
• The review, analysis and periodic update of your firm's compliance policies and procedures
• The analysis and application of new securities regulation
• Regular on site reviews
• Regular staff training on compliance and anti-money-laundering regulation
• All individual and corporate registration matters
• An ongoing help desk through which we will analyze and resolve compliance queries such as, advice on referral arrangement, reviews of marketing materials, etc.
• Liaise with regulatory authorities on your firm's behalf
For more information please contact us at

CommonWealth Fund Services is a well-established, Canadian-founded, alternative independent fund administrator. We combine industry-leading technology and world-class people to service our investment fund manager-clients with greater speed, accuracy and reliability.
Founded in 2007 by former hedge fund owners and operators John Clark and Mark Damelin, CommonWealth has grown to over $3 billion of assets under administration, servicing both Canadian domiciled and offshore investment funds. We were recognized in Global Custodian’s 2012, 2013 and 2014 Hedge Fund Administration surveys as the highest rated Canadian-founded administrator, earning a Roll of Honour award in 2014 for our work with Canadian clients.
CommonWealth is a wholly-owned subsidiary of Caledon Trust Company, a federally chartered trust company regulated by the Office of the Superintendent of Financial Institutions. Caledon Trust provides bare trustee and registered product services to clients of CommonWealth.

Eze Software Group is a premier provider of global investment technology for the front, middle, and back office. Eze Software Group partners with more than 1,500 buy-side and sell-side institutions in 30 countries across North and South America, EMEA, and Asia Pacific. Its clients include broker-dealers, endowments, family offices, hedge funds, institutional asset managers, mutual funds, pension funds, and professional individual investors.
Eze Software employs more than 750 people worldwide. It is headquartered in Boston with offices in Atlanta, Chicago, Dallas, Hong Kong, London, New York, Rio de Janeiro, San Francisco, Singapore, Stamford, and Sydney.
Formed in 2013, Eze Software brings together the proven success of the RealTick EMS®, Eze OMS™, and Tradar PMS™ teams. Offering award-winning products and unparalleled customer service, Eze Software Group is committed to providing cutting-edge solutions for your investment needs.
For more information, contact
sales@ezesoft.com or visit www.ezesoft.com.

Since 2003, Fundamental Research Corp has been provided the highest institutional quality equity research coverage on over 200 small and micro cap public companies through our extensive distribution network. As of 2009, we have also issued over 50 reports on exempt market securities. Our research has been used by some of the largest institutional investors in the world who access it through channels such as Reuters, retail websites such as Stockhouse, and by subscription. Our goal from the beginning was to provide high quality research to a broad audience, while adhering to high ethical standards and a strong foundation of integrity. These principles are evident in everything we do.
Our firm was created when we noticed that all equity research is paid for in one way or another, traditionally through corporate finance relationships. In 2003, it came to light that many investors were not aware that the research they were reading had potential conflicts between research and corporate finance. This led to large fines being levied on some large U.S. investment banks.
However, on the debt side, research relied upon by investors, and produced by firms such as Moodys is paid for, directly by the issuer to the research provider. The model is also used by auditors who are paid to provide an independent opinion to investors.
That brings us to today. To ensure high quality, continuous, and thorough research coverage, we employ full time in house analysts and industry specialists (such as a geologist). Because our analysts are in house, they are readily available to respond to investor inquiries, calls from institutions, and speak to management. We have invested in institutional platforms, such as Reuters Knowledge and Capital IQ, so that our analysts have access to the same high caliber information as the largest money managers in the world.
To ensure ethical behavior throughout our firm, we have, and continue to adopt CFA Institute Standards.
Our analysts are sought after by the media and at conferences to give their opinion on the markets, current topics of interest such as the direction of commodity prices, and top stock picks.
In the end, we are first and foremost a premier research firm that markets its research. A truly solid research firm is one that has full time analysts, access to the same information as large institutional investors, is ranked and adopts ethical and professional standards. The hard work we have done to establish our research is paying off. We have ranked in the Top Ten in independent third party evaluations of our research, and have developed a reputation for producing high quality research.
We hope you will profit from our ideas. To learn more about the problems of traditional research visit Be in the Know!


Grant Thornton LLP is a leading Canadian accounting and advisory firm providing audit, tax and advisory services to private and public organizations. We help dynamic organizations unlock their potential for growth by providing meaningful, actionable advice through a broad range of services. Our team has extensive experience helping companies in the exempt market including providing tax opinions and audit reports for offering memorandums, and acting as an intermediary between issuers and exempt market dealers.

IBK Capital is an independent and privately owned investment banking firm which offers a full range of financial advisory services. Such services include private placements of equity and debt, going public by way of reverse take-over, merger, acquisition and divestiture advisory services, valuations, fairness opinions and take-over defence planning. The Firm’s corporate objective is to provide the highest quality independent financial advisory services to its clients.
IBK Capital was founded by a group of experienced professionals who had previously worked for many years as investment bankers with Merrill Lynch Canada Inc. Since its inception in February 1989, IBK Capital has established an enviable track record as an independent Canadian financial advisory firm, having played a role in transactions with a combined value of $5.6 billion. IBK Capital has successfully completed numerous financial advisory engagements including capital raising assignments for a large number of companies, globally. The Team is proud of its expertise and has a solid track record in the Canadian investment banking community.
Companies serviced by IBK Capital are active in the MINING SECTOR (precious metals, base metals, precious gems, industrial minerals, coal and uranium), the RENEWABLE ENERGY SECTOR (solar, wind and bio fuels such as peat) and the TECHNOLOGY SECTOR (semiconductors, telecommunications, environmental sciences and animation).

IFSE Institute (“IFSE”) provides a world of exciting possibilities in distance learning. Specializing in mutual funds, insurance, exempt market and continuing education, IFSE is the leader in its field. Wholly owned by the Investment Funds Institute of Canada (www.ific.ca) , IFSE has been providing financial services education to professionals and organizations for more than 40 years. In fact, 20,000 students each year choose to study with IFSE, placing their trust in us to help them achieve their career goals. Please come and visit us at our booth to ask us about our new ETF course which is coming soon!

Interactive Brokers
Successful traders and investors understand that superior technology and lower trading costs can result in greater returns. For 31 years we have been building direct access trading technology that delivers real advantages to professionals worldwide. With consolidated equity capital that exceeds US $3.5 billion, IB and its affiliates process in excess of 700,000 trades per day. In addition, our prudent and conservative risk policies make Interactive Brokers a safe haven for your money. Discover some of the reasons why IB is the professional traders' and investors' choice. IB offers direct access to stocks, options, futures, forex, bonds and funds on over 70 market destinations in 17 countries from a single screen. The IB SmartRoutingSM is designed to search for the best price available at the time of your order, and unlike other routers, dynamically routes and re-route all or parts of your order to achieve optimal execution. IB’s real-time margin system continuously enforces limits for each account, and provides real-time monitoring and risk tools to manage risk. Market-maker designed Trader Workstation (TWS) optimizes your trading speed with a single multi-product spreadsheet interface offering real-time streaming quotes and quick click order entry. Member IIROC / CIPF.

OBSI is Canada’s national independent dispute resolution service for consumers and small businesses with a complaint they can't resolve with their banking services or investment firm. As a free alternative to the legal system, we work informally and confidentially to find fair outcomes to disputes about banking and investment products and services.
OBSI looks into complaints about most banking and investment matters including: mutual funds; bonds and GICs; stocks, exchange traded funds, income trusts and other securities; investment advice; unauthorized trading; fraud; debit and credit cards; mortgages; loans and credit; fees and rates; transaction errors; misrepresentation; and accounts sent to collections. Where a complaint has merit, OBSI may recommend compensation up to a maximum of $350,000.

UNIVERIS is the leader in enterprise-class retail wealth management solutions for Canada's financial services industry. At UNIVERIS, our focus is to build the best technology to help our clients grow their business and to provide superior competitive advantage.


CIBC Mellon is a Canadian company exclusively focused on the investment servicing needs of Canadian institutional investors and international institutional investors into Canada. Founded in 1996, CIBC Mellon is 50-50 jointly owned by The Bank of New York Mellon (BNY Mellon) and Canadian Imperial Bank of Commerce (CIBC). CIBC Mellon's investment servicing solutions for institutions and corporations are provided in close collaboration with our parent companies, and include custody, multicurrency accounting, fund administration, unitholder recordkeeping, pension services, securities lending services, foreign exchange settlement and treasury services. As at December 31, 2013, CIBC Mellon had more than CAD$1.3 trillion of assets under administration on behalf of pension funds, investment funds, corporations, governments, insurance companies, foreign insurance trusts, foundations and global financial institutions whose clients invest in Canada. CIBC Mellon is part of the BNY Mellon global network, which as of December 31, 2013, had USD$27.6 trillion in assets under custody and/or administration and USD$1.58 trillion in assets under management. CIBC Mellon is the corporate brand of CIBC Mellon Trust Company and CIBC Mellon Global Securities Services Company and may be used as a generic term to reference either company or both companies collectively.
For more information – including CIBC Mellon’s latest knowledge leadership on issues relevant to institutional investors active in Canada – visit
www.cibcmellon.com or follow us on Twitter @CIBCMellon.

Founded in 1987 Fundata began by collecting and distributing investment fund pricing to local newspapers and businesses.
Over the past two decades Fundata has evolved into a multi-national data distributor and investment fund data and analytics company. The information we provide currently reaches over 80,000 advisors, millions of investors, and scores of institutions every day through our network of newspapers, web and corporate clients across North America.
In all areas of our business, from raw data feeds to hosted web solutions, our goal is to develop strong, long term client relationships and to become a trusted business partner for our clients.
In addition to our commitment to delivering the most timely and accurate information possible, we are committed to being a flexible and reliable business partner.
Today, Fundata offers a variety of products and services that solve problems in a number of industries and for various businesses. Whether custom or white labeled, Fundata’s team of professionals can customized either solution to client specifications.


Get the Fresh Lowdown on Alternative-Investment Activities Every week, Hedge Fund Alert delivers the early intelligence you need to anticipate money-making openings in the fund-management arena. The newsletter tells you what tight-lipped fund managers don’t want you to know. It also uncovers the secret moves of investors and other industry players. See for yourself -- sign up for a 3-week FREE trial subscription to Hedge Fund Alert. Start your free trial at HFAlert.com, or call 201-659-1700.

Investment Executive is Canada's newspaper for financial advisors. IE offers insightful, hard-hitting news and analysis for financial professionals — stockbrokers, financial planners, insurance representatives, personal bankers and mutual fund salespeople. IE is read by more than 100,000 Canadian financial professionals. Up to the minute industry news is available on www.investmentexecutive.com. You can also subscribe to our daily email service, which gives a summary of recent financial industry news. IE is also available as a Smart Edition. You can sign up to be notified when the next issue is available at www.investmentexecutive.com To sign up for any of our services, simply visit www.investmentexecutive.com/subscribe


AIMA was established in 1990 as a direct result of the growing importance of alternative investments in global investment management. AIMA is a not-for-profit international educational and research body that represents practitioners in hedge fund, futures fund and currency fund management - whether managing money or providing a service such as prime brokerage, administration, legal or accounting. AIMA's global membership comprises over 1,350 corporate members, throughout 47 countries, including many leading investment managers, professional advisers and institutional investors.
The objectives of AIMA are to provide an interactive and professional forum for our membership and act as a catalyst for the industry's future development; to provide leadership to the industry and be its pre-eminent voice; and to develop sound practices, enhance industry transparency and education, and to liaise with the wider financial community, institutional investors, the media, regulators, governments and other policy makers.
Founded in 2003, AIMA Canada has over 100 corporate members including hedge fund managers, institutional investors, pension fund managers and consultants, administrators, auditors, lawyers, prime brokers and other service providers.

Originally named the Western Exempt Market Association, our association was founded in 2011 by a number of key participants in the exempt market securities industry, who saw a need for a collective voice to preserve the flexibility and unique culture of the Canadian capital markets and the exempt market in general. Our association grew to include national representation, and so we changed our name to the National Exempt Market Association in 2013 to better reflect our mandate and membership base. Our mandate is to continue to be active in the growth of the exempt market's public profile and the improvement of the efficiency and integrity of the private capital markets. We look forward to continuing to develop a practical regulatory framework that fosters development of the exempt market by allowing entrepreneurs to efficiently raise capital and investors to participate in a broader range of investment options while being adequately protected.


Nestled in the calm, turquoise waters of the Western Caribbean, the Cayman Islands is comprised of three island gems – Grand Cayman, Cayman Brac and Little Cayman – each offering endless possibilities for the Canadian traveller. Cosmopolitan Grand Cayman is the largest of the three with fine dining, shopping and a wealth of activities to soothe the stressed. Cayman Brac is unspoiled and perfect for those wishing to awaken their adventurous spirit, while Little Cayman is quiet and serene with pristine beaches, nature activities and some of the world’s best diving. With over 200 restaurants and award winning Beaches, it is clear why the Cayman Islands is ranked top in the Caribbean.