Kenneth Lo, LLM, Cpa, Ca, Mmpa
About Kenneth Lo, LLM, Cpa, Ca, Mmpa
Kenneth Lo is the Director of Regulatory Reporting at Wealthsimple, with a diverse background in financial and regulatory roles across several prominent organizations in Toronto, Canada.
Title
Kenneth Lo is the Director of Regulatory Reporting at Wealthsimple, a position he has held since 2022 in Toronto, Ontario, Canada. In this role, he oversees regulatory compliance and ensures accurate financial reporting to market authorities.
Previous Roles
Kenneth Lo has held several significant positions in his career. From 2016 to 2021, he served as the Associate Director of Regulatory Financial Reporting at RBC Dominion Securities. Prior to that, he worked at the Investment Industry Regulatory Organization of Canada (IIROC) as an Enforcement Senior Investigator from 2003 to 2016. His early career includes roles as Senior Staff Accountant at Deloitte Canada (2000-2003) and Coop Tax Associate at PricewaterhouseCoopers (1999-2000).
Education and Certifications
Kenneth Lo holds an extensive educational background. He achieved a Master of Laws (LLM) in Securities Law from York University's Osgoode Hall Law School (2014-2016). He completed a Master of Business Administration (MBA) with a focus on Professional Accounting (MMPA) at the University of Toronto's Rotman School of Management (1998-2000). Kenneth also earned an Honour Bachelor of Science (Hon. B.Sc) in Molecular Genetics & Biology from the University of Toronto (1993-1997). Additionally, he has completed seven Canadian Securities Institute courses, including the Branch Manager Course and Chief Compliance Officer Qualifying Exam.
Work at RBC Dominion Securities
During his tenure at RBC Dominion Securities, Kenneth Lo was responsible for preemptively identifying and correcting deficiencies in regulatory financial reporting before the filings were submitted. He also represented the company's interests by advising on policy amendments in the IIROC FOAS capital formula subcommittee.
IIROC Experience
At IIROC, Kenneth Lo's roles included leading examinations of large bank-owned and smaller investment dealers as a Senior Financial & Operations Compliance Examiner. He also collaborated with enforcement counsels for disciplinary actions and participated in IIROC tribunal hearings as a Senior Investigator.