October 16, 2017
8:00 am - 4:30 pm


Centennial Place West Towers
250 - 5 Street SW, Calgary AB

Event Description

8:30 am – 9:30 am
Shell company formation and the role of shell companies in market manipulation

9:30 am – 10:30 am
Foreign Bribery Update: Recent Court Decisions – a case study

10:30 am – 10:45 am

10:45 am – 11:45 am
What is IIROC, Regulatory Structure, Role of Enforcement and Cases

11:45 am – 12:45 pm

12:45 pm –4:30 pm
Applying Behavioural Sciences to Investigations including reviewing the critical pathway in insider threats, statement analysis and body language, personality disorders (with interview tips) in threat assessment


Mark Pallas is the Manager of Investigations for IIROC’s prairie region. He has 21 years of experience in the financial services industry. After completing his BA, he started his career as a Registered Representative in northern Alberta. He moved to Calgary to lead the investor education initiatives at the Alberta Securities Commission and subsequently joined their enforcement group as an investigator. After gathering some experience working in the exempt market, he joined the investigations group at IIROC. Mark has worked in securities regulatory world for 15 years and he has been with IIROC for 8 years. Mark has a passion for financial literacy and is a long-term member of the Partnership Council for the Finance program with the Bissett School of Business at Mount Royal University. He is also a member of the Board for the Frogskin U financial literacy program.

Myles MacPherson is the Senior Markets Specialist in Enforcement with the Market Surveillance & Investigations group at the Alberta Securities Commission in Calgary, Canada. Myles currently leads a team specialising in cross-border Over-the-Counter (OTC) microcap fraud. His particular focus is on the formation of shell companies by criminalised groups as a platform for market manipulation schemes (in particular, ‘pump-and-dump’ schemes). He has over 15 years of ‘on-the-ground’ investigatory experience of market abuse, covering insider trading, market manipulation, illegal distributions, illegal takeover bids and insurance/derivatives cases, and has been a presenter on OTC market abuse to a number of regulators and police agencies throughout Canada and the United States. Myles’ experience includes a 2 ½ year assignment (2008- 2010) as an Advanced Associate in Wholesale Enforcement at the Financial Services Authority in London, UK, where he was responsible for a number of key work streams in its (then) flagship insider dealing conspiracy case “Project Saturn”. Myles is a Certified Anti-Money Laundering Specialist.

Sgt Doug Johnston has been a member of the RCMP since 2000, when he performed general duty patrol work in Greater Vancouver. From there, Sgt. Johnston has been assigned to a variety of detective units, including General Investigations and several financial crime units, such as Commercial Crime, Market Enforcement, and Federal Policing Financial Integrity, as well as a brief secondment to National Security. Doug is currently assigned to the RCMP Federal Policing Serious & Organized Crime – Financial Integrity Unit, whose mandate includes foreign corruption. Doug has been a CFE since 2015.

Dr. Cynthia Baxter is a forensic psychiatrist who has provided consultation to the criminal justice system, law enforcement, private corporations, and the health care system since 2002. She is board-certified in both Canada and the United States and enjoys collaborating with a variety of different professionals in order to assess and manage difficult cases. In addition to her private practice, she is an associate with Toddington International (a global intelligence and security firm) and a clinical professor with the medical school at the University of Calgary.

Mr. Rich Veldhoen has been a police officer for over twenty years and most recently has held the rank of detective with a major metropolitan Canadian police agency after beginning his career with the Royal Canadian Mounted Police in 1996. Mr. Veldhoen is certified in Statement Analysis and Threat Assessment. He has consulted in threat assessment across a broad spectrum of areas and has consulted extensively in threats at the federal, provincial, and local levels. Mr. Veldhoen has been active in providing training and presentations to a wide variety of professionals since 2002, including law enforcement, post-secondary institutions, media outlets, and government organizations.

Attend This Event

Online bookings are closed for this event.