Douglas Walker – Senior Policy Counsel

Douglas Walker has had an extensive career as a lawyer, prosecutor, regulator, and compliance officer in Canada for over 30 years. Before joining FAIR Canada, Mr. Walker was a consultant and legal/compliance adviser to international banks. He was previously General Counsel and head of Legal & Compliance at Credit Suisse Canada where he ensured legal and compliance requirements for a full range of rapidly expanding and dynamic investment banking businesses, including corporate finance, mergers & acquisitions, equities, fixed income, foreign exchange and structured credit sales and trading, asset management, prime broker and automated execution services for institutional clients, and ultra high new worth client private banking and wealth management. 

Douglas was previously the Chief Compliance Officer and Head of Global Compliance with BMO Capital Markets where he led the transformation of the compliance function to integrate the institutional client equity, fixed income and derivatives sales and trading, and investment banking businesses of BMO Nesbitt Burns with the corporate and commercial lending, credit portfolio risk management, credit derivatives, and foreign exchange trading businesses of the Bank of Montreal under the combined operation known as BMO Capital Markets. The Compliance responsibilities included corporate governance, market and business conduct, anti-money laundering and terrorist financing, sanctions, anti-bribery and privacy requirements. He also created and led the BMO Capital Markets Global Compliance function implementing global processes, polices and infrastructure to support and ensure compliance by BMO Capital Markets businesses operating in Canada, the U.S, Asia, Australia, the U.K. and Europe. 

Douglas previously held various senior positions with Canada’s securities industry self regulatory organizations including Director of Enforcement, Litigation Branch, at the Investment Dealers Association of Canada where he created the first national self regulatory organization enforcement litigation department with lawyers in offices in Montreal, Toronto, Calgary and Vancouver.  Previously, he was Chief Enforcement Counsel, the Toronto Stock Exchange (TSX), Member and Market Regulation Division where he was responsible for litigating the disciplinary actions brought against TSX member firms, or their executives,  managers, traders or sales staff for violations to the rules of the Exchange and/or securities regulations.  He began his career as a criminal prosecutor with the Crown Attorneys Office, Attorney General (Ontario) where he prosecuted criminal cases in all levels of court in Ontario.