Gina A. Yee is a partner and recent addition to the Investment Products and Wealth Management and the Securities and Mergers & Acquisitions Practice Groups. Gina is participating in the creation of a new specialized Securities Regulatory Compliance Group, focusing on supporting investment dealers and other securities registrants with all aspects of their business and regulatory compliance needs. Before returning to private practice, Gina was at Scotia Capital Inc. for over 8 years serving as VP Head of Institutional Compliance and Chief Compliance Officer, Senior Regulatory and Compliance Advisor, Anti-Money Laundering Officer and In-house Compliance Counsel. Prior to Scotia, she was the VP Head of Retail Compliance and Legal Counsel at HSBC Securities (Canada) Inc. Her experience and expertise includes global capital markets, global corporate and investment banking and retail/wealth management. Gina has participated in the acquisition, integration and registration of new business entities and business lines, and in the creation of supervisory and compliance processes, policies and procedures, risk controls and training programs to support those businesses. She provides business conduct and trade desk support and assists clients with managing internal investigations and regulatory inquiries. Gina is a current member of the IIROC Compliance Legal Section (CLS) Education Committee and a past member of the CLS Executive Committee, Market Rules Advisory Committee (MRAC) and and the Securities Advisory Committee (SAC) to the Ontario Securities Commission. Gina has also worked as Enforcement Counsel for the Investment Dealers Association of Canada (now "IIROC") and as an Assistant Crown Attorney in the provincial and superior courts in Toronto.
Membership/Affiliations
- IIROC Compliance Legal Section (CLS) Education Committee
Past Member of:
- IIROC CLS Executive Committee
- OSC Securities Advisory Committee (SAC)Member
- IIROC Anti-Money Laundering Committee
- Market Rules Advisory Committee (MRAC)