Creating Confidence in the Capital Markets and Financial Services with Industry Regulators – 2:20 pm
Lynn Tsutsumi joined the Alberta Securities Commission (ASC) in 2011 as Director, Market Regulation. In this role Lynn is responsible for the Market Regulation division, which provides securities regulation to the Alberta capital market by developing and administering rules and policies relating to registrants (dealers, advisers, and investment fund managers), equities and derivatives exchanges, clearing agencies, and self-regulatory organizations. Prior to joining the ASC, Lynn served as the Chief Financial Officer and Vice-President, Finance for a number of companies, including Acumen Capital Partners, Tristone Capital Global Inc. and AltaCorp Capital Inc. From 2003 to 2006, she was Manager, Financial Compliance with the Investment Industry Regulatory Organization of Canada. She commenced her securities industry career at the Alberta Stock Exchange in early 1995, with experience in both the Member Regulation and Listings departments. Lynn graduated, with distinction, with a Bachelor of Commerce degree from the University of Calgary in 1991 and received her Chartered Accountant designation in 1994.