OrionConsulting.services
Toronto, Canada
Securities Compliance Consulting
WHO WE ARE
Let’s Succeed Together
BOB WONG
Broker/dealer professional with 30+ years of experience in Canadian and global financial markets.
Extensive knowledge of Canadian securities and derivatives legislation, SRO and exchange regulations, IIROC rules and acceptable practices relating to exchange and over-the-counter derivatives.
Applied for investment dealer registration and IIROC membership for new firm and received approval within 7 months of submission.
Served as Director (Industry), Ultimate Designated Person, Chief Executive Officer, Chief Compliance Officer, and Supervisor.
Consultant to private blockchain project for fiat and derivative-collateralized stablecoins that target the payment industry and meet regulatory requirement.
Consultant to securities regulators, law enforcement and the Crown in securities fraud investigation and financial crime prosecution.
EUGENIA CHEE
Completed Bachelor of Commerce (BCom) degree at the University of Toronto, received Chartered Accountant designation in 1992.
Extensive knowledge of listed commodity futures and over-the-counter derivatives, registrant due diligence obligations, risk management and compliance procedures,
Currently serving as Chief Financial Officer to the Canadian offices of a U.S. commodities brokerage and a U.K. derivatives dealer, both IIROC-regulated firms.
Served in various executive positions since 1993 at IIROC Dealer firms, including Chief Financial Officer, Chief Compliance Officer, Chief Operating Officer, Corporate Secretary and Controller.
Trusted advisor to Dealer firms on accounting, taxation, finance and employment matters.
IIROC qualifications include:
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Partners, Directors and Senior Officers Course
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CFO Qualifying Exam
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Canadian Futures Exam (Parts 1 & 2)
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Options Supervisors Course
JONATHAN HEYMANN
Over two decades of experience with advising securities registrants in compliance and registration matters.
Completed BA (Hons) degree in French & Politics at Reading University in the United Kingdom.
Entered the Financial Services industry with Spectrum United, a mutual fund company, in the Client Services and Dealer Relations Departments.
Joined the Ontario Securities Commission (OSC) in 1999, became a Supervisor in 2001 in the OSC Contact Centre, developing a broad knowledge of Capital Markets in Canada and the role of compliance.
Advanced to the position of Corporate Registration Officer in the Compliance and Registration Department, interpreting legislation; analyzing and approving applications for registration by dealers and advisors; and monitoring firms’ compliance with their registrant obligations.
Started own consulting firm In 2007 to advise on compliance and registration in all registrant categories, assisting firms and individuals with initial registration; drafting compliance manuals; filing exemption applications; audits and general support in compliance matters.
