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Michael J. Horgan & Associates operates with a team of staff members combined with a network of consultants with diverse profiles within the Canadian securities field. Mike Horgan has over 40 years experience in the investment industry and has spent the last 9 years as an independent consultant. Mike spent over 30 years with RBC Dominion Securities and its predecessor firms in numerous roles including head of Credit/Risk and Director of Compliance and was both an Options and Futures Principal. In his role as a consultant he has testified as an expert in the courts of British Columbia, Ontario and Quebec. We are pleased to announce that Joan Marshall will be joining our team effective February 1st, 2006. Joan has more than 30 years experience in the investment industry including almost 20 years of ever-increasing responsibilities in Compliance culminating in being appointed Chief Compliance Officer for one of the largest dealers in Canada. In addition to her considerable experience in client complaints and litigation, she has been involved in regulatory and internal policy development for issues such as Account Supervision, Anti-Money Laundering, US Resident Policy, Trading Policies, Marketing & Advertising Policy and branch review programs. Meet the members of our core team Meet the members of our associated network
Compliance/Credit This individual’s more than 35 years experience includes Regional Manager of Client/Credit Accounting for Ontario as well as Vice-President and Regional Compliance Manager for Western Canada. Qualified as an Alternate Registered Options Principal (AROP)
Generalist More than 16 years experience in a wide variety of roles with discount, full service and carrying brokers. Responsibilities encompassed a variety of management roles within the Operations, Compliance and Customer Services departments, with a strong emphasis on Systems, Name & Address, Documentation, as well as Client Complaints & Investigations.
Generalist More than 8 years experience in a wide variety of roles within the Operations, Compliance and Customers Service departments, with a strong emphasis on Systems Implementation and Training, Client Complaints and Investigations.
Compliance This individual has more than 23 years of experience in the investment industry in Credit and Compliance, most of it being in the latter level at a senior level including Chief Compliance Officer and Managing Director of Retail Compliance. Considerable experience writing and updating Compliance Manuals for IDA Member firms. Also is qualified as a Registered Options Principal.
Investigations With over 40 years of experience on both sides of the street, regulator and dealer, this individual has a thorough knowledge of the scams and schemes used by rogue brokers. Regulatory experience includes Chief Investigator and Senior Compliance Officer at a national regulator as well as Examination Officer with a stock exchange. Dealer experience includes Financial & Operations Manager with one dealer and Manager of Internal Audit & Operations Control with another. He has been self-employed as a consultant since 1999.
Mutual Funds This individual has more than 35 years of combined experience with investment dealers and with mutual fund companies. Dealer experience includes various roles in Securities and Operations as well as Vice-President Mutual Funds. This latter role involved management of the mutual funds department of a major investment dealer with a complement of as many as 40 staff. The 9 years of experience with a mutual fund company included a number of roles, particularly in the area of systems development and automation to satisfy the needs of customers in the distribution channel.
Equity Trading With almost 45 years of experience in the investment industry, this individual has seen both sides of the business. The first 20 years were in the "back office" in various roles including Operations Manager. The balance of his career was in Equity Trading including 10 years as Managing Director Equity Trading for a top five firm. In this latter role he was responsible for the oversight of day-to-day operations of both domestic and international trading including firm proprietary trading. Fully conversant with options and other equity-related derivatives.
Banking/Brokerage Trust More than 30 years investment industry experience in banking, brokerage and trust give this person a unique perspective on the financial services industry. Has operated at the Senior Managerial level in Trade Services, Operations, Securities Custody and Control, Client Services and Dividends.
Reconciliation & Controls This person has more than 40 years of experience in all areas of the "Back Office". This includes 20 years in Securities Operations, 10 of which were as Operations Manager. Other experience at the Senior Manager level includes Financial and Operations controls. Special Projects experience includes post-merger clean up after numerous mergers, systems conversations, etc. Fully versed in both ADP and ISM processing systems.
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