Robert Allen Email and Phone Number

Firm-wide oversight responsibility for all Retail and Institutional Trade Desk Supervision including the management and implementation of related policies and procedures.Designated Supervisor (Institutional) for Credential; responsible for Institutional Client Business Conduct Compliance including the approval of New Institutional Client Accounts, and the provision of supervisory oversight over all institutional activities pursuant to IIROC RulesDesignated Supervisor (Options) for Credential; responsible for the approval of all new Options accounts, firm-wide, and provide supervisory oversight over all options activities.

Responsible for the national sales and trading compliance functions for Credential Securities, including the oversight and management of CSI Provincial Branch Management team and their activities, including: regulatory audits and branch reviews, trading, new account supervision, AML reporting; Sales Communications approvals; investigation of client complaints training; IA registration, and disciplinary actions related to non-compliance. Compliance lead on the development and deployment of new business initiatives and the standardization of national policy and procedures for: retail account supervision; trading and capital markets

- Managed the compliance advice and direction to the institutional and high net worth client teams. Informed and advised line and senior management of the impact, risks and opportunities of significant, new and amended securities regulations. - Authored policies, practices and procedures to ensure compliance with internal standards and external regulatory obligations.- Appointed as the Compliance representative on a bank-wide internal working group struck to address new obligations under Registration Reform (National Instrument 31-103). Responsible for coordinating, authoring and implementing (enterprise-wide) changes to business policies & procedures over a 12 month period. - Took lead role in supervising and coordinating the firm’s participation in compliance reviews performed by the MFDA and the British Columbia Securities Commission. - Developed and presented ad-hoc and quarterly compliance training sessions to all institutional sales staff, covering developments & changes to Provincial and Federal securities and AML rules and regulations. - Served as the compliance representative on the firm’s Proxy Voting Committee. Carried out on-going due diligence, approval and supervision of all new and existing institutional client accounts.

- Developed, revised and implemented internal policies and procedures relating to trading supervision, institutional sales and AML compliance.- Compiled, authored and presented monthly institutional desk supervisory reporting to senior management.- Played lead role in managing all aspects of the firm’s participation in numerous external trade desk and sales compliance reviews performed by IIROC, Bourse de Montreal and FINRA. - Authored and managed all exemptive relief applications in relation to industry registration requirements for institutional sales and trading staff.- Developed and presented industry training and educational sessions for all institutional trading and sales staff. - Co-authored the firm’s policies and procedures manual for its NASD (FINRA) market making subsidiary.- Performed all required supervisory and oversight duties respecting the firm’s option activity, and developed and updated all internal policies and procedures relating to options. - Served on the Managed Accounts Committee which supervised the firm’s discretionary services business, and managed development and implementation of internal policies and procedures specific to managed (discretionary) accounts.

- Planned and performed Sales Compliance Reviews of IIROC Member Firms- Offered conclusions, determined findings and authored final reports of IDA sales compliance reviews relating to Member Firm’s policies and procedures, and operating activities. - Provided on-going regulatory guidance and solutions to employees of IIROC Member Firms.- Performed trading reviews on Member Firms’ retail accounts across the product spectrum including Option, Managed, WRAP, Discretionary, Margin Long and Short, Omnibus, Offshore, Registered, Trust, and Joint accounts.