Denise Weeres
Director, Corporate Finance at Alberta Securities Commission- Claim this Profile
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Bio
Credentials
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Sustainable Capitalism & ESG Online
Berkeley Law Executive EducationApr, 2023- Nov, 2024 -
Working Effectively with Indigenous Peoples
Indigenous Corporate Training Inc.Aug, 2022- Nov, 2024
Experience
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Alberta Securities Commission
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Canada
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Government Administration
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1 - 100 Employee
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Director, Corporate Finance
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Oct 2021 - Present
Experienced legal and capital markets professional, providing strategic leadership to a diverse team of approx. 50 capital market experts including lawyers, CPAs, engineers/geologists, sustainability experts, CFAs, analysts and other finance professionals fostering access to the capital markets while protecting investors. Coordinating efforts with counterparts across Canada to achieve harmonized regulation, reviewing and assessing prospectuses & other offering documents, continuous disclosure… Show more Experienced legal and capital markets professional, providing strategic leadership to a diverse team of approx. 50 capital market experts including lawyers, CPAs, engineers/geologists, sustainability experts, CFAs, analysts and other finance professionals fostering access to the capital markets while protecting investors. Coordinating efforts with counterparts across Canada to achieve harmonized regulation, reviewing and assessing prospectuses & other offering documents, continuous disclosure documents, M&A, takeover bid and shareholder meeting matters, and insider and control person reporting. We consider applications for discretionary exemptions from securities law and are engaged in oversight of the TSX Venture Exchange. Priority areas include "all things energy", sustainability/ESG, diversity and governance; M&A transactions and dissident proxy contests, mutual funds, alt funds and private funds; compliance, and innovation in finance exploring ways to improve capital formation through regulatory and technological innovation.
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Director, New Economy
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Jul 2018 - Nov 2021
As a member of ASC executive management, leading a small, collaborative team, actively engaging with market participants and working closely with staff in Corporate Finance and Market Regulation, coordinating ASC efforts to energize Alberta's capital markets, enhancing capital-raising alternatives in Alberta, having regard to both incumbent industries and those focused on strengthening and diversifying the Alberta economy. Quarterbacking ASC's efforts, including on the CSA Regulatory Sandbox… Show more As a member of ASC executive management, leading a small, collaborative team, actively engaging with market participants and working closely with staff in Corporate Finance and Market Regulation, coordinating ASC efforts to energize Alberta's capital markets, enhancing capital-raising alternatives in Alberta, having regard to both incumbent industries and those focused on strengthening and diversifying the Alberta economy. Quarterbacking ASC's efforts, including on the CSA Regulatory Sandbox, to support fintech businesses (e.g., digital/crypto assets, crowdfunding) seeking to offer innovative products in situations where securities law intersects with emerging financial technologies.
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Manager, Legal, Corporate Finance and previously Consultant/Senior Legal Counsel
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Jun 2007 - Jul 2018
Managed team of 12 lawyers and legal assistants from July 2013 to July 2018. Responsible for receipting short-form and shelf prospectuses; granting discretionary exemptive relief; addressing contested shareholder meetings, take-over bid and M&A transactions, including formal hearings; engaging with and providing advice to staff, including professional accountants and petroleum engineering team; leading or overseeing rule and policy development related to continuous disclosure, private… Show more Managed team of 12 lawyers and legal assistants from July 2013 to July 2018. Responsible for receipting short-form and shelf prospectuses; granting discretionary exemptive relief; addressing contested shareholder meetings, take-over bid and M&A transactions, including formal hearings; engaging with and providing advice to staff, including professional accountants and petroleum engineering team; leading or overseeing rule and policy development related to continuous disclosure, private placement financings, take-over bids, proxy contests, mutual funds and other investment funds/alt funds, with particular focus on, complex and novel projects such as regulation arising from the financial crisis relating to securitizations (ABCP), OTC derivatives, credit rating agencies, as well as climate-related risk disclosures, proportionate regulation/regulatory burden reduction and fintech matters.
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Synenco Energy Inc.
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Oil and Gas
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1 - 100 Employee
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General Counsel (EVP) and Corporate Secretary
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May 2005 - May 2007
General Counsel to Synenco during major transformation from a small private oil sands exploration business to a TSX-listed public company with 250+ staff working on developing and financing (venture capital, institutional private placement, $350M IPO and project financing) of both oil sands mining operations and an upgrading facility in Sturgeon County, as well as exploring and negotiating potential acquisitions and strategic opportunities. Corporate Secretary to both the Synenco Board and the… Show more General Counsel to Synenco during major transformation from a small private oil sands exploration business to a TSX-listed public company with 250+ staff working on developing and financing (venture capital, institutional private placement, $350M IPO and project financing) of both oil sands mining operations and an upgrading facility in Sturgeon County, as well as exploring and negotiating potential acquisitions and strategic opportunities. Corporate Secretary to both the Synenco Board and the Northern Lights Partnership with SincoCanada (subsidiary of SOE Sinopec), managing partnership relationship and responsibilities. Responsible for public company disclosures and filings, working collaboratively with CFO and staff in Finance. Established upstream and downstream legal teams and developed standardized engineering, design/build, service, consulting, and non-disclosure agreements for legal and supply chain management staff. Oversaw development and rapid evolution of corporate policies relating to governance, disclosure, expenditure approvals, camp health and safety, drug and alcohol use and testing, privacy and personal information etc. Until appointment of an EVP, Corporate Responsibility, co-led with the EVP, Operations/COO efforts relating to ERCB and Alberta Environment regulatory applications and approvals including engagement with community members in Sturgeon County and indigenous communities in Fort Mackay area. Show less General Counsel to Synenco during major transformation from a small private oil sands exploration business to a TSX-listed public company with 250+ staff working on developing and financing (venture capital, institutional private placement, $350M IPO and project financing) of both oil sands mining operations and an upgrading facility in Sturgeon County, as well as exploring and negotiating potential acquisitions and strategic opportunities. Corporate Secretary to both the Synenco Board and the… Show more General Counsel to Synenco during major transformation from a small private oil sands exploration business to a TSX-listed public company with 250+ staff working on developing and financing (venture capital, institutional private placement, $350M IPO and project financing) of both oil sands mining operations and an upgrading facility in Sturgeon County, as well as exploring and negotiating potential acquisitions and strategic opportunities. Corporate Secretary to both the Synenco Board and the Northern Lights Partnership with SincoCanada (subsidiary of SOE Sinopec), managing partnership relationship and responsibilities. Responsible for public company disclosures and filings, working collaboratively with CFO and staff in Finance. Established upstream and downstream legal teams and developed standardized engineering, design/build, service, consulting, and non-disclosure agreements for legal and supply chain management staff. Oversaw development and rapid evolution of corporate policies relating to governance, disclosure, expenditure approvals, camp health and safety, drug and alcohol use and testing, privacy and personal information etc. Until appointment of an EVP, Corporate Responsibility, co-led with the EVP, Operations/COO efforts relating to ERCB and Alberta Environment regulatory applications and approvals including engagement with community members in Sturgeon County and indigenous communities in Fort Mackay area. Show less
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Alberta Securities Commission
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Canada
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Government Administration
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1 - 100 Employee
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General Counsel and previously policy legal counsel
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Aug 2000 - May 2005
Establishing the ASC's first Office of the General Counsel in May 2003 and providing specialized legal advisory services as well as strategic advice and direction to the Commission/Board of Directors and Executive Director. Responsibilities included leading ASC's efforts and participation in national committees developing the Canadian response to Sarbanes-Oxley, including Board and audit committee governance, CEO/CFO certifications, internal controls over financial reporting and disclosure… Show more Establishing the ASC's first Office of the General Counsel in May 2003 and providing specialized legal advisory services as well as strategic advice and direction to the Commission/Board of Directors and Executive Director. Responsibilities included leading ASC's efforts and participation in national committees developing the Canadian response to Sarbanes-Oxley, including Board and audit committee governance, CEO/CFO certifications, internal controls over financial reporting and disclosure controls and auditor oversight; serving as the ASC' representative on the Provincial Ministers' "passport system" taskforce; representing the ASC at various national and international forums and serving as a media contact; and providing legal advice on enforcement matters. Previously, as policy legal counsel, led ASC efforts in developing a comprehensive set of new capital raising exemptions and in addressing proportionate regulation/regulatory burden for smaller public companies. Show less Establishing the ASC's first Office of the General Counsel in May 2003 and providing specialized legal advisory services as well as strategic advice and direction to the Commission/Board of Directors and Executive Director. Responsibilities included leading ASC's efforts and participation in national committees developing the Canadian response to Sarbanes-Oxley, including Board and audit committee governance, CEO/CFO certifications, internal controls over financial reporting and disclosure… Show more Establishing the ASC's first Office of the General Counsel in May 2003 and providing specialized legal advisory services as well as strategic advice and direction to the Commission/Board of Directors and Executive Director. Responsibilities included leading ASC's efforts and participation in national committees developing the Canadian response to Sarbanes-Oxley, including Board and audit committee governance, CEO/CFO certifications, internal controls over financial reporting and disclosure controls and auditor oversight; serving as the ASC' representative on the Provincial Ministers' "passport system" taskforce; representing the ASC at various national and international forums and serving as a media contact; and providing legal advice on enforcement matters. Previously, as policy legal counsel, led ASC efforts in developing a comprehensive set of new capital raising exemptions and in addressing proportionate regulation/regulatory burden for smaller public companies. Show less
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Manager, Corporate Finance Policy & Listings Officer
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May 1998 - Aug 2000
Actively engaged in merger of Alberta Stock Exchange and Vancouver Stock Exchange and the subsequent consolidation of the junior/venture capital markets in Ontario, Quebec and Manitoba to create what is now the TSX Venture Exchange. Working closely with the EVP and other executive management, in developing strategic and policy objectives for new stock exchange. Coordinated and co-chaired local and national meetings with investment dealers, lawyers, accountants, public company representatives… Show more Actively engaged in merger of Alberta Stock Exchange and Vancouver Stock Exchange and the subsequent consolidation of the junior/venture capital markets in Ontario, Quebec and Manitoba to create what is now the TSX Venture Exchange. Working closely with the EVP and other executive management, in developing strategic and policy objectives for new stock exchange. Coordinated and co-chaired local and national meetings with investment dealers, lawyers, accountants, public company representatives to solicit feedback on proposed new policies. Engaged in extensive business development and communication efforts to roll out the branding for the new exchange and its market niche. Acted in an advocacy role on behalf of the exchange, engaging with securities and tax regulators across Canada. Assessed business plans, financial statements, technical reports and valuations to assess the suitability for listing of businesses seeking a listing on the exchange. Show less Actively engaged in merger of Alberta Stock Exchange and Vancouver Stock Exchange and the subsequent consolidation of the junior/venture capital markets in Ontario, Quebec and Manitoba to create what is now the TSX Venture Exchange. Working closely with the EVP and other executive management, in developing strategic and policy objectives for new stock exchange. Coordinated and co-chaired local and national meetings with investment dealers, lawyers, accountants, public company representatives… Show more Actively engaged in merger of Alberta Stock Exchange and Vancouver Stock Exchange and the subsequent consolidation of the junior/venture capital markets in Ontario, Quebec and Manitoba to create what is now the TSX Venture Exchange. Working closely with the EVP and other executive management, in developing strategic and policy objectives for new stock exchange. Coordinated and co-chaired local and national meetings with investment dealers, lawyers, accountants, public company representatives to solicit feedback on proposed new policies. Engaged in extensive business development and communication efforts to roll out the branding for the new exchange and its market niche. Acted in an advocacy role on behalf of the exchange, engaging with securities and tax regulators across Canada. Assessed business plans, financial statements, technical reports and valuations to assess the suitability for listing of businesses seeking a listing on the exchange. Show less
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Calgary and Vancouver
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Corporate-commercial and securities lawyer
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1993 - 1998
Practiced corporate-commercial and securities law in Calgary and Vancouver at national and boutique law firms. Acted on behalf of issuers and dealers in connection with public and private financings of all sizes and M&A transactions and provided advice respecting a broad range of matters, particularly, corporate governance, continuous disclosure, transportation-related matters, and environmental law. Practiced corporate-commercial and securities law in Calgary and Vancouver at national and boutique law firms. Acted on behalf of issuers and dealers in connection with public and private financings of all sizes and M&A transactions and provided advice respecting a broad range of matters, particularly, corporate governance, continuous disclosure, transportation-related matters, and environmental law.
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Education
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University of Alberta, Faculty of Law
Community
