As the Chief Compliance Officer, Sandra LaFontaine is accountable for the oversight of all regulatory and compliance matters which arise in conjunction with Trez Capital’s statutory obligations as a registrant.
Sandra brings significant expertise to the firm and has worked in the compliance field for over 20 years. Sandra joined Trez Capital in December 2014, as our Director, Compliance, ably navigating the compliance framework and regulatory obligations. Sandra was appointed Chief Compliance Officer in September 2021. Prior to joining Trez Capital in December 2014, Sandra was the Chief Compliance Officer for Mirabaud Canada Inc. and Mirabaud Gestion Inc. for 11 years. In a previous role, Sandra worked as a compliance examiner for a regulator in Montreal.
Sandra has a Bachelor of Commerce (BComm) in Finance from Concordia University and has completed a variety of courses with the Canadian Securities Institute, most notably the Partners, Directors and Senior Officers Qualifying Examination, the Chief Compliance Officer Qualifying Examination, the Option Supervisor Course, the Canadian Securities Course and the Conduct and Practices Handbook Course.