To oversee regulatory compliance matters and general risk management
Partners In Planning Financial Services has appointed Stephanie McManus as general counsel and chief compliance officer.
Ms McManus will serve in these capacities for Partners In Planning Financial Services, subject to regulatory approval, and for affiliated companies including Partners In Planning Insurance Services, Titan Funds and Walton Wealth Management.
She is responsible for regulatory compliance matters, general risk management and corporate governance issues, and for ensuring the highest level of ethical standards and practices.
Ms McManus has held the role of enforcement counsel with the Investment Dealers Association of Canada (IDA, now known as the Investment Industry Regulatory Organization of Canada or IIROC) and as director of enforcement with the Mutual Fund Dealers Association (MFDA).
R. Roy, chief operating officer of Partners In Planning Financial Services, said: I am delighted by the level of knowledge and experience that Stephanie brings to our firms. Integrity and independence are the hallmarks of our practice. Stephanie will greatly assist all advisors and staff in maintaining and furthering our standards of rigorous compliance and ethics.