Trina Richards

• Identifying potential breaches of the Alberta Securities Act and preparing investigative plans
• Conducting investigations for a wide range of cases including, but not limited to fraud, illegal distribution, market abuse, misrepresentation, Breach of Order, and registration
• Preparing and issuing Summons, Warning Letters, Requests for Assistance (to both Canadian and International agencies), Production Orders, Notices Compelling Production
• Conducting interviews of witnesses and respondents (often with counsel present) both on and off-site
• Reviewing evidence to identify most relevant data and using this information to prepare concise reports such as Section 44 Reports - Reports to the Executive Director
• Presenting investigative findings to Management and Enforcement Case Team (ECT)
• Collaborating with other agencies to ensure timely information sharing pursuant to MMoU and eMMoUs
• Use of MAP and analysis of trade data to support market-related investigations

Conducted interviews with witnesses to collect and identify relevant data

Collected, analyzed and interpreted information, documentation and physical evidence associated with intake files

Determined and made recommendations to management as to whether files should be closed, or referred to investigations

Identified trends in bad activity allowing for proactive measures to be taken against future threats (Disruption)

Carefully documented statements and evidentiary materials into case and evidence management systems

Managed sensitive case information with utmost discretion, ensuring confidentiality and integrity

Discretionary, active management of customized portfolios tailored to client needs

Implemented my proprietary platform which included sound risk management and in-depth product analysis

Communicated market developments, portfolio changes and annual performance information to clients

Active in assessing and managing risk, and maintaining required education and certification requirements

Discretionary, active management of customized portfolios through sound risk management, use of derivative strategies and product analysis

Trading of equity, debt and convertible securities

Proactive identification of portfolio sector and security opportunities

Created and implemented Haywood's Bond Desk, advising retail and institutional brokers and clients on fixed income products, strategies and idea generation;

Trading of various fixed income products and currencies for retail and institutional orders

Provided services for Haywood's Vancouver, Calgary and Toronto Offices

Assisted sales team for Japan Equity Sales Desk

Conducted equity research and trade support