WAISC

WAISC 2013 Sponsors

DIAMOND SPONSOR

KPMG's Financial Services Practice consists of more than 600 experienced professionals across Canada. With access to one of the largest global industry networks we offer customized, industry-focused Audit, Tax, and Advisory services. Our Financial Services teams have the experience, technical skills and industry focus to help clients address and overcome sector-specific business challenges. We help to clarify the issues and enhance competitive advantage.

Our Financial Services practice comprises four areas of focus:
• Banking
• Asset Management & Alternative Investments
• Insurance
• Investment Dealers
KPMG’s dedicated and results oriented approach can see you through your toughest business challenges. With our dynamic portfolio, we can help our clients realize their potential.

GOLD SPONSOR

Founded in 1859, National Bank of Canada is an integrated group that provides comprehensive financial services to consumers, small and medium-sized enterprises and large corporations in its core market, while offering specialized services to its clients elsewhere in the world. With $185 billion in assets as at April 30, 2013, National Bank of Canada (www.nbc.ca), together with its subsidiaries, forms one of Canada’s leading integrated financial groups, and was named among the 20 strongest banks in the world by Bloomberg Markets magazine. The Bank has close to 20,000 employees and is widely recognized as a top employer. Its securities are listed on the Toronto Stock Exchange (TSX: NA).
National Bank Correspondent Network (NBCN) is a division of National Bank of Canada. With more than 20 years of continuous service, NBCN is a leading important provider of wholesale securities processing in Canada and continually redefines the industry through innovative product development, expert client care and leading technology. NBCN provides execution, clearing, custody, prime brokerage and administrative services to Independent Securities firms and Portfolio Managers. The team is dedicated to giving our clients the very best of service and the breadth of investment choices necessary to build a successful practice.

Productivity Media is a late state, senior lender to film and television productions, providing Senior Secured debt to film and television production. We serve the needs of Canadian and international producers by providing innovative, short-term financing on quality projects.
In 2012, Productivity Media brought together a team that has extensive experience in financing, production, directing, and sales in both film and television.
Combined, Productivity Media is able to satisfy many needs of producers in Canada and across the globe.

SILVER SPONSORS

Arrow Capital Management ("Arrow") is an employee-owned company, founded in 1999 by James McGovern. Arrow's expertise in active portfolio management and manager selection is evident in its strong, diverse platform, which provides our clients with access to a global selection of outstanding alternative investment funds. One of the most experienced alternative investment fund companies in Canada and with an extensive network of global resources, Arrow has successfully navigated its clients through all types of market conditions.
The Arrow team is made up of seasoned portfolio managers and industry experts who have the experience and know-how to deploy a variety of alternative investment strategies with a global perspective. Arrow's principals invest substantially alongside their clients and believe that capital protection is paramount. 100% transparency is the core driver behind the strict vetting process that is required to gain access to the Arrow platform, and once onboard, Arrow continues to monitor the manager's trading activity and provide ongoing risk evaluation. This analysis enhances Arrow's active investment management process through portfolio adjustments in its multi-manager funds in order to reduce its investment risk and improve returns.
With its' affiliates, Arrow manages over CAD $900 million of assets, comprised of both single manager and multi-manager portfolio funds. Arrow's investment research, portfolio management and trading operations are located at head office in Toronto. Arrow has sales offices in Calgary and Vancouver, as well as research and sales offices in London, United Kingdom with their partner Generation Asset Management.
2008 Hedge Fund Awards
Best Contribution to Canadian Hedge Fund Industry – Jim McGovern
2006 Canadian Investment Awards
Fund of Hedge Funds Award – Arrow Diversified Fund (formerly named Arrow Multi-Strategy Fund)
2005 Canadian Investment Awards
Fund of Hedge Funds Award – Arrow Diversified Fund (formerly named Arrow Multi-Strategy Fund)

BMO Capital Markets is a Canadian prime brokerage leader and provides full service prime brokerage to a diverse group of hedge funds, institutions and family offices ranging from start-ups to multi-billion dollar funds.

BMO’s award winning Prime Brokerage platform has delivered services to a diverse client base since 1990. Our longstanding commitment to the alternative investment industry ensures that we actively support prime brokerage clients at all levels of the organization:

  • A relationship with BMO Prime Brokerage ensures outstanding Client Service including individual attention, global operational depth and client confidentiality.

  • We offer bulge bracket Equity Finance Capabilities with the focus of a boutique firm with 24-hour coverage in North America, Europe and Asia, ensuring broad access to difficult to borrow securities and effective protection from recalls.

  • We provide a full Electronic Trading suite with intelligent liquidity-seeking strategies, and access to all important North American markets, ATSes and dark pools. Our team act as market structure and execution consultants, and can provide in depth post-trade analytics.

  • Our customizable Technology and Reporting platform meets our clients’ individual requirements through a robust suite of reports and high-level functionality.

  • Through our Capital Introduction program, BMO Capital Markets provides capital raising opportunities through multiple levels of customized support including publications, events and one-on-meetings for institutional and retail investors.

Please contact BMOPrimeBrokerage@bmo.com for more information about our offering.

BMO Capital Markets is a member of BMO Financial Group (NYSE, TSX: BMO), one of the largest diversified financial services providers in North America with US$544 billion total assets and more than 46,500 employees as at January 31, 2013. For more information, visit www.bmocm.com.

IBK Capital is an independent and privately owned investment banking firm which offers a full range of financial advisory services. Such services include private placements of equity and debt, going public by way of reverse take-over, merger, acquisition and divestiture advisory services, valuations, fairness opinions and take-over defence planning. The Firm’s corporate objective is to provide the highest quality independent financial advisory services to its clients.
IBK Capital was founded by a group of experienced professionals who had previously worked for many years as investment bankers with Merrill Lynch Canada Inc. Since its inception in February 1989, IBK Capital has established an enviable track record as an independent Canadian financial advisory firm, having played a role in transactions with a combined value of $4.5 billion. IBK Capital has successfully completed numerous financial advisory engagements including capital raising assignments for a large number of companies, globally. The Team is proud of its expertise and has a solid track record in the Canadian investment banking community.
Companies serviced by IBK Capital are active in the MINING SECTOR (precious metals, base metals, precious gems, industrial minerals, coal and uranium), the RENEWABLE ENERGY SECTOR (solar, wind and bio fuels such as peat) and the TECHNOLOGY SECTOR (semiconductors, telecommunications, environmental sciences and animation).

For nearly 20 years Imagine Software has been a leading provider of real-time investment management solutions to the global financial community. Since launching the first cloud-based integrated portfolio and risk management offering—the Imagine Trading System—in 2000, the company has continued to guide the industry as an innovator. The company's robust suite of products also includes the Imagine Financial Platform, an environment that extends Imagine's capabilities through Imagine Apps; the Imagine Marketplace, an online community for distributing and obtaining Imagine Apps; and the Imagine Risk Aggregator, a web portal providing greater transparency into investments.

Headquartered in New York City with additional offices in Cleveland, Hong Kong, London, Sydney, and Istanbul, Imagine Software is the trusted solution for thousands of users at the world's largest hedge funds, funds of funds, brokerage firms, and investment banks.

For more information, visit www.imaginesoftware.com or contact us at 212-317-7600, or follow us on Twitter and LinkedIn.

Olympia Trust is a non-deposit taking trust company headquartered in Calgary, Alberta with offices in Vancouver, Edmonton, Winnipeg, and Montreal. Recognized for professionalism and expertise, we provide personalized, one-on-one service to individuals interested in investing in both traditional and alternative financial products, with a particular focus on investments in the Exempt Market.
We are a wholly owned subsidiary of Olympia Financial Group Inc. (TSXV: OLY). Founded in 1996, we are regulated under the Loan and Corporations Act (Alberta) and registered to offer our services in Alberta, British Columbia, Saskatchewan, Manitoba, Quebec, Nova Scotia, Prince Edward Island and Newfoundland. We are proud to be recognized as one of Profit Canada Magazine’s 100 Top 200 Growth Companies three years in a row, and to be named one of Alberta’s Top 60 Employers twice.
We are an administrator, assisting investors by holding their funds and securities in trust, processing investment transactions as instructed, issuing tax documentation, record-keeping, and much more. Investors generally come to us through a Financial Professional, who provides them with investment advice. We play a critical role in facilitating transactions between several stakeholders, including investors, financial professionals, issuers and dealers in the Exempt Market.

The Olympia Group consists of 4 core businesses:

1. Registered Plans & Tax-Free Saving Accounts
2. Foreign Exchange Services –multinational corporations handling the full range of their foreign currency needs
3. Corporate & Shareholder Services
4. Olympia Benefits Inc.

Walkers is a leading International Financial Centre law firm with offices in the British Virgin Islands, Cayman Islands, Dubai, Dublin, Hong Kong, Jersey, London and Singapore. We focus principally on corporate and international finance law with an emphasis on investment funds and capital markets and structured finance. Our firm delivers practical advice based on an in-depth knowledge of the legal, regulatory and commercial environment in the British Virgin Islands, the Cayman Islands, Ireland and Jersey. We provide legal services to FORTUNE 100 and FTSE 100 global corporations and financial institutions, capital markets participants, investment fund managers and middle market companies.

BRONZE SPONSORS

Established in 2003 Apex Fund Services is now one of the world’s largest independent fund administration companies. The Apex Global Network is at the heart of the Company’s strategy. Apex is located alongside its clients providing the highest levels of personalized services based on four core pillars of Fund Administration, Fund Launch Solutions, Financial Outsourcing and Technologies to provide a full suite of services for fund setup, portfolio valuations, fund accounting, shareholder services, corporate secretarial administration, directorships, and listing sponsorship.
Apex is unique in its ability to reach globally, service locally and provide cross-jurisdictional solutions and best practice enabling a thorough process with complete integration.
Apex has offices in all the major fund domiciles or jurisdictions including Australia, Bahamas, United Kingdom, Brazil, Canada, Cayman Islands, China, Cyprus, Guernsey, Hong Kong, India, Ireland, Isle of Man, Luxembourg, Malta, Mauritius, Russia, Seychelles, Singapore, Switzerland, UAE, Uruguay, and the United States.

Bancorp is an integrated real estate finance and fund management company. Bancorp has earned a reputation as a highly knowledgeable and ethical real estate specialist. With an individual average of more than 25 years’ experience in the industry, you are benefitting from the combined knowledge and prudence of a team of experts who understand real estate mortgage lending and are dedicated to providing secure investment opportunities for clients.
Bancorp offer investors the opportunity to invest in a portfolio of real estate mortgages through an investment in one or more of Bancorp’s mortgage funds. Each of our mortgage funds is comprised of a diversified portfolio of mortgage loans secured by real property. We aim to offer investors attractive returns and secure investment opportunities.
Bancorp Balanced Mortgage Fund II and Bancorp Growth Mortgage Fund II are the two funds offered by Bancorp and each fund provides its own unique investment strategy and risk/reward profile.

Borden Ladner Gervais LLP (BLG) is a pre-eminent full-service, national law firm focusing on business law, commercial litigation and intellectual property solutions for our clients. With more than 750 lawyers, intellectual property agents and other professionals in six Canadian cities, BLG assists clients with their legal needs, from major litigation to financing and patent registration.
The Investment Management Group at BLG consists of a team of over 50 lawyers located in offices across Canada who understand the business, regulatory and administrative issues that face participants in the Canadian investment management industry. We have the largest and most experienced investment management practice in Canada, having provided legal services to Canadian and international industry participants for over 50 years. For further information, visit the Investment Management Group page on blg.com.

CIBC Mellon provides asset servicing solutions, including custody, multicurrency accounting, fund administration, unitholder recordkeeping, pension services and securities lending services, for institutions and corporations. We have over 1,100 people dedicated to supporting more than 1,200 client relationships with Canadian banks, pension funds, investment funds, corporations, governments, insurance companies, foreign insurance trusts, foundations and global financial institutions whose clients invest in Canada. As at October 31, 2012, CIBC Mellon held more than CAD$1.2 trillion of assets under administration on behalf of our clients. CIBC Mellon is headquartered in Toronto, with offices across Canada in Vancouver, Calgary, London, Montreal and Halifax. Founded in 1996, CIBC Mellon is 50-50 jointly owned by Canadian Imperial Bank of Commerce (CIBC) and The Bank of New York Mellon Corporation (BNY Mellon), the world’s largest custodian. CIBC Mellon is part of the BNY Mellon network, which as at September 30, 2012 had USD$27.9 trillion in assets under custody and administration, USD$1.4 trillion in assets under management and global payments processed averaging USD$1.4 trillion per day.
For more information – including CIBC Mellon’s latest knowledge leadership on issues relevant to institutional investors active in Canada – visit www.cibcmellon.com or follow us on Twitter @CIBCMellon.

CommonWealth Fund Services is a well-established, Canadian founded, independent fund administrator. We utilize industry leading technology allowing us to service clients with greater speed, accuracy and reliability.
Based in Toronto, CommonWealth performs fund administration services including fund valuation and accounting, compliance, custodian, and shareholder services. By avoiding needless complexity and investing in the basics, CommonWealth aims to be an extension of our clients' own operations processes.
CommonWealth is a member of the Caledon Trust Company, a federally chartered Canadian trust company, subject to regulatory oversight and minimum capital requirements. As a family owned company, Caledon Trust is independent of banks, hedge funds, and audit firms. This unique approach to financial services allows all clients of the Caledon Trust family of companies to benefit from a service with no conflicts of interest.

First Asset is an independent Canadian investment management company focused on delivering superior risk-adjusted investment returns to Canadian investors and their investment advisors. Founded in 1996, First Asset is a leading manager of ETFs, mutual funds, and closed end funds in Canada.
First Asset offers a wide variety of solutions designed to fit any investor’s portfolio needs in diverse market conditions. In addition to its families of internally managed investment funds, First Asset provides Canadian investors with access to some of the world’s most recognized and respected investment managers.

Since 2003, Fundamental Research Corp has been provided the highest institutional quality equity research coverage on over 200 small and micro cap public companies through our extensive distribution network. As of 2009, we have also issued over 50 reports on exempt market securities. Our research has been used by some of the largest institutional investors in the world who access it through channels such as Reuters, retail websites such as Stockhouse, and by subscription. Our goal from the beginning was to provide high quality research to a broad audience, while adhering to high ethical standards and a strong foundation of integrity. These principles are evident in everything we do.
Our firm was created when we noticed that all equity research is paid for in one way or another, traditionally through corporate finance relationships. In 2003, it came to light that many investors were not aware that the research they were reading had potential conflicts between research and corporate finance. This led to large fines being levied on some large U.S. investment banks.
However, on the debt side, research relied upon by investors, and produced by firms such as Moodys is paid for, directly by the issuer to the research provider. The model is also used by auditors who are paid to provide an independent opinion to investors.
That brings us to today. To ensure high quality, continuous, and thorough research coverage, we employ full time in house analysts and industry specialists (such as a geologist). Because our analysts are in house, they are readily available to respond to investor inquiries, calls from institutions, and speak to management. We have invested in institutional platforms, such as Reuters Knowledge and Capital IQ, so that our analysts have access to the same high caliber information as the largest money managers in the world.
To ensure ethical behavior throughout our firm, we have, and continue to adopt CFA Institute Standards.
Our analysts are sought after by the media and at conferences to give their opinion on the markets, current topics of interest such as the direction of commodity prices, and top stock picks.
In the end, we are first and foremost a premier research firm that markets its research. A truly solid research firm is one that has full time analysts, access to the same information as large institutional investors, is ranked and adopts ethical and professional standards. The hard work we have done to establish our research is paying off. We have ranked in the Top Ten in independent third party evaluations of our research, and have developed a reputation for producing high quality research.
We hope you will profit from our ideas. To learn more about the problems of traditional research visit Be in the Know!

Grant Thornton LLP is a leading Canadian accounting and advisory firm providing audit, tax and advisory services to private and public organizations. We help dynamic organizations unlock their potential for growth by providing meaningful, actionable advice through a broad range of services. Our team has extensive experience helping companies in the exempt market including providing tax opinions and audit reports for offering memorandums, and acting as an intermediary between issuers and exempt market dealers.

IFSE Institute established www.ifse.ca to deliver one-stop financial services education, in both official languages, to students and organizations across Canada. Most IFSE students work full time in financial services organizations and have limited time to study during the business day. Our courses and study tools are designed to fit into busy schedules, and are available through a variety of delivery methods. For example, our extremely popular Mutual Fund and Life Insurance Licensing courses are available online. IFSE Institute’s Exempt Market Products Exam is a proficiency requirement for Exempt Market Dealers – Dealing Representatives and Chief Compliance Officers in NI 31-103. This paper-based course focuses on topics such as the capital markets, the exempt market, know your client and know your product rules, ethical conduct, and features of common exempt securities. The course has been developed to ensure that those individuals operating in this market have the knowledge necessary to offer advice to clients on these complex financial instruments. We encourage you to visit our booth for more information. Please do not forget to ask us about our new partnership with the Exempt Market Dealers Association of Canada (EMDA).

Interactive Brokers
Successful traders and investors understand that superior technology and lower trading costs can result in greater returns. For 31 years we have been building direct access trading technology that delivers real advantages to professionals worldwide. With consolidated equity capital that exceeds US $3.5 billion, IB and its affiliates process in excess of 700,000 trades per day. In addition, our prudent and conservative risk policies make Interactive Brokers a safe haven for your money. Discover some of the reasons why IB is the professional traders' and investors' choice. IB offers direct access to stocks, options, futures, forex, bonds and funds on over 70 market destinations in 17 countries from a single screen. The IB SmartRoutingSM is designed to search for the best price available at the time of your order, and unlike other routers, dynamically routes and re-route all or parts of your order to achieve optimal execution. IB’s real-time margin system continuously enforces limits for each account, and provides real-time monitoring and risk tools to manage risk. Market-maker designed Trader Workstation (TWS) optimizes your trading speed with a single multi-product spreadsheet interface offering real-time streaming quotes and quick click order entry. Member IIROC / CIPF.

Investment Executive is Canada's newspaper for financial advisors. IE offers insightful, hard-hitting news and analysis for financial professionals — stockbrokers, financial planners, insurance representatives, personal bankers and mutual fund salespeople. IE is read by more than 100,000 Canadian financial professionals. Up to the minute industry news is available on www.investmentexecutive.com. You can also subscribe to our daily email service, which gives a summary of recent financial industry news. IE is also available as a Smart Edition. You can sign up to be notified when the next issue is available at www.investmentexecutive.com. To sign up for any of our services, simply visit www.investmentexecutive.com/subscribe

Miller Thomson enjoys a reputation as one of Canada’s most respected national business law firms. Daily, our people demonstrate a consistent ability to provide practical, creative and cost-effective advice, combined with an unyielding service commitment to our clients. The firm’s dedication to its lawyers, staff and the communities in which we practise, gives us a distinctive position in the Canadian legal industry.
With 450 lawyers across Canada in Toronto, Vancouver, Calgary, Edmonton, Saskatoon, Regina, London, Kitchener-Waterloo, Guelph, Markham, and Montréal, the firm offers a complete range of business, advocacy and personal legal services to corporations, financial institutions, entrepreneurs, governments, not-for-profit organizations and individuals.
Through strategic growth, Miller Thomson has added enhanced capabilities, depth and resources in many core and specialty areas of expertise in the firm. Today, we are exceptionally well-positioned to help domestic and international decision-makers with all their Canadian legal needs.

The Montréal Exchange (MX), Canada’s national derivatives exchange owned and operated by TMX Group, offers retail and institutional investors – both domestic and foreign – a wide range of risk management products that protect their investments and ensure growth. Our futures and options products cover major asset classes, including interest rates with a time horizon of one day to 30 years, equities, FX, and Canadian stock indices.
Canadian Derivatives Clearing Corporation (CDCC) is a wholly-owned subsidiary of MX, which ensures the integrity and stability of the Canadian market by acting as the central counterparty guarantor. CDCC also guarantees all over-the-counter products that are cleared through its Converge clearing services.
MX is headquartered in Montréal, Quebec, with international offices in London (U.K.) and New York (U.S.).
To learn more, visit www.m-x.ca.

SUPPORTING ASSOCIATIONS

AIMA was established in 1990 as a direct result of the growing importance of alternative investments in global investment management. AIMA is a not-for-profit international educational and research body that represents practitioners in hedge fund, futures fund and currency fund management - whether managing money or providing a service such as prime brokerage, administration, legal or accounting. AIMA's global membership comprises over 1,350 corporate members, throughout 47 countries, including many leading investment managers, professional advisers and institutional investors.
The objectives of AIMA are to provide an interactive and professional forum for our membership and act as a catalyst for the industry's future development; to provide leadership to the industry and be its pre-eminent voice; and to develop sound practices, enhance industry transparency and education, and to liaise with the wider financial community, institutional investors, the media, regulators, governments and other policy makers.
Founded in 2003, AIMA Canada has over 100 corporate members including hedge fund managers, institutional investors, pension fund managers and consultants, administrators, auditors, lawyers, prime brokers and other service providers.

Originally named the Western Exempt Market Association, our association was founded in 2011 by a number of key participants in the exempt market securities industry, who saw a need for a collective voice to preserve the flexibility and unique culture of the Canadian capital markets and the exempt market in general. Our association grew to include national representation, and so we changed our name to the National Exempt Market Association in 2013 to better reflect our mandate and membership base. Our mandate is to continue to be active in the growth of the exempt market's public profile and the improvement of the efficiency and integrity of the private capital markets. We look forward to continuing to develop a practical regulatory framework that fosters development of the exempt market by allowing entrepreneurs to efficiently raise capital and investors to participate in a broader range of investment options while being adequately protected.

What is Visionary? Visionary redefines the role of an intermediary as an “eHarmony for business,” matching sought business connections (investors, clients, talent/expertise) across a proprietary Network of investors, entrepreneurs, and executives.
Who is Visionary? For each Relationship Access Mandate, Visionary assembles Advisory Partners from its core team of veteran entrepreneurs, financiers, and business development professionals based out of offices in New York and Toronto, and from a ‘bench’ of talent with particular domain expertise and relationship capital.
Who are you seeking? Take the Visionary Access Survey at www.Visionary.is. A member of the Visionary team will contact you to discuss your potential matches in Visionary, and our service offering and referral exchange.
General Contact: contact@visionary.is
O. tel:416.628.3664

MEDIA SPONSORS

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