| Bill Rice
Chair and Chief Executive Officer
Office of the Chair and Chief Executive Officer The Chair and Chief Executive Officer is responsible for representing the ASC, addressing emerging issues in securities regulation and leading the ASC to achieve its organizational objectives. The Chair has direct oversight responsibilities for the Communications & Investor Education division and the Offices of the Executive Director and General Counsel. The Chair is appointed by the Lieutenant Governor in Council and reports to the Members and to the Minister of Finance and Enterprise. Bill Rice |
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| David Linder
Executive Director
Office of the Executive Director The Executive Director reports to the Chair and is the ASC’s Chief Administrative Officer, overseeing the Corporate Finance, Corporate Resources, Enforcement, Finance, and Market Regulation divisions, and the Office of the Chief Accountant. The Executive Director also participates on the ASC’s Human Resources and Audit committees and chairs the Senior Management and Strategic Planning committees. Pursuant to the Securities Act (Alberta), the Executive Director acts in an appellate function from decisions made by Market Regulation and Enforcement staff. |
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| Kari Horn
General Counsel
Office of the General Counsel The Office of the General Counsel (OGC) reports to the Chair and provides legal advisory services to the Commission Members, the Chair, the Executive Director and staff on a broad range of operational, transactional and policy projects. The OGC also provides guidance to market participants on the interpretation of Alberta securities laws. Staff in the OGC deal with policy initiatives related to corporate governance and projects requiring a broad assessment of existing regulation, including the current court challenges relating to the federal regulator debate. Responsibility for the corporate secretarial and legislative functions also resides in the OGC. |
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| Tamera Van Brunt
Director, Communications and Investor Education
Communications and Investor Education The Communications and Investor Education division provides strategic communications counsel and support to all areas of the ASC to engage and educate internal and external stakeholders in a manner that meets the ASC’s organizational objectives. Through the efforts of media relations, investor education, corporate communications, public information and internal communications, the team promotes consistent, relevant and timely communication to support efficient and effective securities regulation in Alberta and throughout Canada. |
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| Tom Graham
Director, Corporate Finance
Corporate Finance Corporate Finance is responsible for reviewing offering documents, monitoring continuous disclosure filings and making recommendations on applications for exemptive relief from securities legislation. Closely related to these day-to-day services, Corporate Finance is active in formulating and developing appropriate rules, regulatory instruments, policies, blanket orders and legislative amendments used in the regulation of the Alberta capital market, with a particular focus on the oil and gas industry. |
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| Danna McLeod
Director, Corporate Resources
Corporate Resources The Corporate Resources division provides business, technical and human resource services to enable staff to fulfill the ASC’s mandate. It provides services in the areas of: information technology; human resources and corporate services, including purchasing, security and business continuity; health and safety; facility management; and information and records management. Corporate Resources supports the needs of employees and management through the initiation, development, delivery and implementation of high-quality strategies, programs and policies that are aligned to organizational objectives. |
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| Brett Code
Director, Enforcement
Enforcement The Enforcement Division enforces Alberta securities laws by discovering, investigating and prosecuting breaches of those laws with an eye to both stopping current misconduct and preventing future misconduct. Through prompt, fair and visible enforcement action, the division seeks to protect the investing public, foster investor confidence and promote the integrity of the Alberta capital market. |
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 | Lynn Tsutsumi
Director, Market Regulation
Market Regulation Market Regulation provides effective and responsive securities regulation to the Alberta capital market by developing and administering rules and policies relating to exchanges, alternative trading systems, registrants (dealers and advisers) and self-regulatory organizations, including the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada. Staff are also focused on performing targeted compliance examinations, considering registration and exemption applications, and registering individuals and firms. |
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| Steve Slipp
Controller
Controller The Controller is the ASC’s senior financial officer and is responsible for effective internal control over financial reporting, annual budget preparation, administration of investment manager reporting and relations, coordination of risk management processes, and accurate and timely financial reporting to senior management, Commission Members and the Ministry of Finance and Enterprise. |
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 | Lara Gaede
Chief Accountant
Office of the Chief Accountant The Office of the Chief Accountant provides expert knowledge in the areas of accounting, auditing and financial reporting matters to ASC staff as well as guidance to reporting issuers and their advisers. This division is involved in policy initiatives that relate to these areas of expertise. The Office also oversees the training of the professional accountants within the organization. |