Parham Nasseri, CFA

The Ontario Securities Commission administers and enforces securities law in the province of Ontario. The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to contribute to the stability of the financial system and the reduction of systemic risk.

InvestorCOM is a leading provider of regulatory compliance software and communications solutions for wealth and asset managers in the financial services industry.    Our innovative suite of FinTech solutions was developed in response to increasing regulation and the demand for more effective communication and disclosure from the financial services industry. Our platform satisfies the principles set out by regulators and supports the key categories of disclosure and record-keeping, process oversight, and investment recommendations, leading to better financial decisions. Awards: 2024: WealthTech Americas Award - Innovative Compliance/RegTech Product 2024: CRTA - Best Wealth Management Solution 2023: Fintech Breakthrough Award - Best RegTech Company 2023: WealthTech Americas Award - Innovative Compliance/RegTech Product 2022: 5-Star WealthTech Providers - Wealth Profesional Canada 2022: Fintech Breakthrough Award - Best RegTech Platform 2022: CRTA - Best wealth Management Regulatory Solution 2022: 5-Star Wealth Tech Providers 2021: RegTech100 Winner 2021-2022, 2024: "Wealthies" Finalist - Technology Providers: Compliance 2018-2019: Employee Recommended Workplace, Globe & Mail 2018, 2020-2022: Canadas Top SMEs 2018-2024: Hamilton-Niagara Top Employer

The Ontario Securities Commission administers and enforces securities law in the province of Ontario. The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to contribute to the stability of the financial system and the reduction of systemic risk.

The Brattle Group answers complex economic, finance, and regulatory questions for corporations, law firms, and governments around the world. We are distinguished by the clarity of our insights and the credibility of our experts, which include leading international academics and industry specialists. Brattle has over 500 talented professionals across three continents. For more information, please visit brattle.com.

OBSI is Canada’s trusted independent dispute resolution service for consumers and small businesses with a complaint they cant resolve with their banking services or investment firm. As a free alternative to the legal system, we work informally and confidentially to find fair outcomes to disputes about banking and investment products and services. OBSI looks into complaints about most banking and investment matters including: mutual funds; bonds and GICs; stocks, exchange traded funds, income trusts and other securities; investment advice; unauthorized trading; fraud; debit and credit cards; mortgages; loans and credit; fees and rates; transaction errors; misrepresentation; and accounts sent to collections. Where a complaint has merit, OBSI may recommend compensation up to a maximum of $350,000. OBSI’s staff consists of qualified professionals from the financial services, law, accounting, dispute resolution and regulatory compliance fields. Current participating firms include: -Investment Industry Regulatory Organization of Canada (IIROC) member firms -Mutual Fund Dealers Association of Canada (MFDA) member firms -Mutual fund companies -Exempt market dealers -Portfolio managers -Scholarship plan dealers -Forex trading services -Domestic and foreign-owned banks -Credit unions -Federal trust and loan companies and other deposit-taking organizations