Katelyn Dong

Biography

 Audited banking statements of Shorcan Brokers to ensure compliance with the TMX Employee Trading Policy. • Collaborated with KPMG External Auditors to test the design and effectiveness of Customer Service operational controls at the Canadian Depository for Securities for the annual CSAE 3416 Report.  • Engaged in quarterly financial audits such as CEO / CFO Certification, close checklist reporting and Directors’ Compensation in the Management Information Circular.  • Assisted in the maintenance and quality assurance of risk assessments and management controls uploaded on the TMX production environment.

Research Interest

  Performed detailed overview and analysis of the Canadian Depository for Securities (CDS) participant and marketplace on-boarding procedures, and identified ways to improve and streamline the process.  • Attended Strategic Development and Review Committee meetings (SDRC – Debt / Equity & Entitlements) to communicate CDS initiatives, including CDS / CDCC integration and T+2 testing updates to participants.  • Performed NPV and SWOT analyses for new revenue opportunities, and construct written proposals and presentations to review results and recommendations to senior management.  • Created a presentation that gives a simplified overview of the CDS Recognition Order that facilitates the understanding of the TMX and CDS regulatory environment. • Created centralized communication platforms to improve interdepartmental information sharing.