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Cindy Petlock

Aequitas NEO Exchange
Head of Legal, Regulatory and Compliance
Cindy Petlock is the Head of Legal, Regulatory and Compliance at Aequitas Innovations Inc. She has over 18 years of capital markets experience, including as the General Counsel & Corporate Secretary at CNSX Markets (the operator of the CSE) and as Manager of Market Regulation at the Ontario Securities Commission. Between those two roles she led initiatives as Special Advisor on Regulatory Projects at Market Regulation Services Inc., and she began her career as a compliance officer and regulatory counsel at CIBC World Markets. Cindy has been appointed to a number of financial industry committees, both domestic and international: the OSC’s Market Structure Advisory Committee, IIROC’s Market Rules Advisory Committee, the CSTA’s Trading Issues Committee and IOSCO’s Standing Committee 2 (Regulation of Secondary Markets).

My Moderators Sessions

Friday, August 15
 

9:30am CDT