Compliance Forum

Karen McMeekin is Vice President and Chief Regulatory Officer of the Regulatory Division, responsible for leading the self-regulatory functions of the Montréal Exchange (MX). Karen has held various positions at MX since 2001, including Director, Strategy and Regulatory Outreach; Director of Examinations, Regulatory Division; Business Development Manager, Equity Derivatives, and Head of Market Operations. Prior to joining MX, she began her 25-year career in the listed derivatives market as a futures broker on the Montréal trading floor for TD Securities and Richardson Greenshields. Karen holds a Bachelor of Arts degree in Economics from Concordia University and is a member of Women in Capital Markets.

Marc Komlossy is a Senior Market Analyst in the Montréal Exchange's Regulatory Division. His key responsibilities include overseeing the monitoring of the trading activities of the Exchange's Approved Participants and ensuring their compliance with Exchange rules, as well as working closely with other regulatory bodies trying to achieve the same objectives. Marc has been with the Montréal Exchange since 2016, occupying various roles within the Regulatory Division, and as Senior Equity Derivatives Advisor within the Financial Markets team of the Montreal Exchange. Prior to working at the Exchange, Marc worked for more than 18 years at TD Bank Direct Investing, starting out as an Investment Representative and moving on to roles in compliance, management and finally, training facilitation.

Rosanna Sciortino is an Examiner at the Montreal Exchange's Regulatory Division. Her key responsibilities include conducting periodic examinations of the Approved Participants to ensure they continue to meet regulatory requirements. Rosanna positions herself as a trusted regulatory partner and prides herself in providing Approved Participants with helpful regulatory guidance. Rosanna has been with the Regulatory Division of the Montreal Exchange since 2017. Prior to working at the Division, Rosanna occupied various roles in financial markets and compliance, working at BMO Nesbitt Burns and Laurentian Bank Securities. Rosanna has a degree in Commerce from the John Molson School of Business at Concordia University.

Steve Badra-Quirion is the Senior Advisor, Regulatory Outreach and has been in the financial industry for over 15 years. Prior to joining the Regulatory Division, he worked in OTC derivatives regulation at a provincial securities regulator and in financial risk management at various consulting firms. In his current role at the Regulatory Division, Steve leads a variety of initiatives aimed at clarifying and assisting Approved Participants and their clients navigate derivatives regulation in Canada. Steve is a Chartered Financial Analyst charterholder and has a bachelor of commerce and diploma in accounting from McGill University.

Vincent Pivin-Dans is the Senior Advisor, Systems and Data at the Montréal Exchange’s Regulatory Division. Vincent joined the Regulatory Division of the Montreal Exchange in 2017 as a compliance analyst, and has since held roles in the Examinations and Market Analysis teams. Currently as Senior Advisor, Vincent is involved in the Division’s initiatives related to technology and data, serving as a subject matter expert. Initiatives have included the development of a new surveillance system, Participant Portal functionalities and machine learning based market manipulation alerts. Vincent has a degree in Finance & Economics and is a Chartered Financial Analyst charterholder.