Ann Harris Email and Phone Number

Ann Harris FCCA (UK) is a securities compliance professional, international auditor and former regulator. She is an expert in conflict of interest matters, having established an Independent Review Committee for Manulife Mutual Funds prior to the enforcement of NI 81-107. She served as the initial IRC member of Hartford Mutual Funds in 2007. Ann has worked in Barbados, Canada, the UK and Singapore.During Ann’s career as a regulator with IIROC, she was involved in all aspects of the investment fund industry. Specific projects included the automation of mutual fund processing, the formation of FundSERV Inc. and MFDA, and resolutions in regulatory issues facing the fund industry. Ann was responsible for the development of interpretation bulletins on regulatory issues, most notably, “Mutual Fund Transactions” - Compliance Interpretation Bulletin #C-106 dated August 28, 1996 at www.IIROC.ca. Most recently, Ann has been an independent securities compliance consultant. Her assignments include advising on regulatory requirements and/or audits, policies and procedures, governance, AML, privacy, complaint and risk management, outsourcing, conflict of interest matters, registration, as well as serving as the designated chief compliance officer with securities commissions for investment companies, including start-ups.Specialties: anti-money laundering & anti-terrorists financing requirements; all aspects of compliance related to investment funds; incl start-upregulatory compliance of IIROC & MFDA memberspolicies/procedures devt & implementationbusiness continuity plans;complaint management and issues resolution;conflict of interest matters;corporate governance & code of ethics; personal trading compliance;privacy & PIPEDA requirements;risk management; corporate & individual registrations requirements and NRD;