Cindy Petlock
About Cindy Petlock
Cindy Petlock is a seasoned legal professional specializing in securities regulation, currently serving as Chief Legal Officer and Corporate Secretary at Neo Exchange Inc.
Chief Legal Officer and Corporate Secretary
Cindy Petlock currently holds the position of Chief Legal Officer and Corporate Secretary. She brings a wealth of experience in overseeing legal and regulatory compliance to her role. Her responsibilities include advising on securities regulation and market structure contracts, a role she has been fulfilling since May 2020.
Experience with Neo Exchange Inc.
Cindy Petlock served as the Chief Legal Officer and Corporate Secretary at Neo Exchange Inc. for six years. In this position, she was responsible for managing legal affairs and corporate governance. Her tenure at Neo Exchange Inc. was marked by her expertise in the legal and regulatory aspects of the securities exchange industry.
Canadian Securities Exchange Leadership
Before joining Neo Exchange Inc., Cindy held the position of General Counsel and Corporate Secretary at the Canadian Securities Exchange. In this role, she oversaw all legal matters and compliance functions, demonstrating her extensive experience in market regulation.
Regulatory Projects and Market Regulation Services
Cindy Petlock's background includes serving as Special Advisor on Regulatory Projects at Market Regulation Services Inc./IIROC. In this capacity, she provided valuable insights and guidance on regulatory initiatives, leveraging her deep understanding of market regulation.
Ontario Securities Commission Experience
Earlier in her career, Cindy worked as Manager, Market Regulation at the Ontario Securities Commission. This role involved managing compliance and regulatory functions within the organization. Her work here contributed to her strong foundation in securities regulation.
Compliance Officer Role at CIBC World Markets
Cindy Petlock's professional journey also includes her tenure as a compliance officer and regulatory counsel at CIBC World Markets. In this role, she was responsible for ensuring adherence to regulatory standards and compliance requirements within the financial markets.
Director at Arxnovum Investment Inc.
Cindy serves as a director at Arxnovum Investment Inc., an investment fund manager specializing in alternative assets, including digital assets. Her role involves providing strategic oversight and advising on legal and regulatory matters concerning the management of digital and alternative assets.