Vancouver: Reconciling the Conflict Between Securities Law Disclosure Obligations and Protecting the Corporation. How and What Should a Company Disclose in Regard to Corruption Issues in the Operating Jurisdiction.

February 21, 2019 all-day
Segal Graduate School of Business - Simon Fraser University
500 Granville Street

CIM MES Vancouver is pleased to present:

Daniela Chimisso dos Santos, BA, LLB, LLM, SJD (Can.)

Principal Consultant, Invenient Solutions Consulting

Chris Collins, B.Sc., P.Geo., MBA

Chief Mining Advisor, Corporate Finance, British Columbia Securities Commission

Alan Franklin, JD, LLB, LLM

Managing Director, Global Business Risk Management
Academic Advisor, Athabasca University Faculty of Business

John Hinze, CPA, CA

Director, Corporate Finance, British Columbia Securities Commission

Joseph Ringwald, PEng, FCIM, CD

President and CEO, ScoZinc Mining


who will deliver a panel discussion on:

Reconciling the Conflict Between Securities Law Disclosure Obligations and Protecting the Corporation. How and What Should a Company Disclose in Regard to Corruption Issues in the Operating Jurisdiction.


The settlement decision by the Ontario Securities Commission in regard to Katanga Mining resulted in fines imposed on Katanga Mining because it operated in the Democratic Republic of Congo, which the OSC considered a jurisdiction that is high on the corruption scale and the company should have disclosed those risks to investors. The penalty to Katanga Mining was $28.5 million, and the individuals involved were also required to pay substantial administrative penalties and costs. The issues were also in regard to accounting and financial reporting. The decision can be found at



Daniela Chimisso dos Santos is Principal Consultant at Invenient Solutions Consulting, and has practiced law in the oil, gas, and mining industries for almost 20 years. She has extensive national and international experience, including in Sub-Saharan Africa, South America, and Asia. Recent projects include authoring the Western Canada’s Extractives’ Executives Barometer Report, and working as National Researcher for Transparency International Canada on a global project on mining for sustainability. Her last corporate position was as Deputy General Counsel, Vale S.A. The United Nations Development Programme has recently recognized her as an extractives expert. Daniela has lectured at several law faculties, including the University of Western Ontario, University of Toronto, and Osgoode Hall Professional Development. Her research interests include institutional change, the role of multinational enterprises in development, human rights law, finance and development; her scholarship includes co-authoring “Financing Human Rights Due Diligence in Mining Projects”, “Export Credits, Sovereign Debt and Human Rights”, and “Human Rights Due Diligence and Extractive Industries”.

Chris Collins has been the Chief Mining Advisor at the British Columbia Securities Commission (BCSC) since 2014. He leads a team focused on upholding Canadian securities regulators mining disclosure regime. Prior to the BCSC, he was in executive roles in Toronto based junior exploration companies developing projects in Bolivia, Chile and Red Lake, Ontario. He started his career in the mining industry over 30 years ago with Noranda Mining, in both exploration and production roles in Atlantic Canada and then on to international exploration and development projects. Chris is a Professional Geoscientist registered in both the provinces of BC and NL.

Alan Franklin is Managing Director of Global Business Risk Management (Vancouver and Toronto). He also develops and teaches courses on international business risk management for Executive MBA students at Athabasca University in Canada. Alan is a member of the Panel of Experts of the Canadian Centre of Excellence for Anticorruption at the University of Ottawa, as well as an active member of the Columbia University “Teaching Business and Human Rights Forum” and the Global Business and Human Rights Scholars Association.

Alan retired from private practice to devote his time to teaching, consulting and writing about international business risk management, with focus on corruption issues. He has worked with over 180 companies in Canada which has allowed him to develop insights into issues of risk analysis and management on a practical level that are not well known nor discussed in the literature or at conferences. These unique insights have empowered him to provide consulting services to corporations, lawyers, accountants, banks and insurance companies.

John Hinze is the BCSC’s Director, Corporate Finance. He is passionate about fostering vibrant capital markets in BC that facilitate capital access and protect investors. A CPA, CA and CPHR, he has been with the BCSC for 19 years in various front and back office roles including Director of Corporate Services, CFO, Manager of Financial and Insider Reporting, and Controller. Before joining the Commission, John was with a Big Four accounting firm.

Joe Ringwald, President and CEO of ScoZinc Mining, is a mining and mineral process engineer with over 30 years mining and construction experience including senior management positions in exploration, development, operations and consulting companies. His career has taken him into numerous countries on five continents to work on underground and surface projects of various commodities including base and precious metals, uranium, coal, industrial minerals and diamonds. His current and past avocation activities and affiliations include member of the Canadian Mirror Committee to the ISO for Anti-Bribery (ISO 37001), member of the Canadian Securities’ Mining Advisory and Technical Monitoring Committee, past Director of Transparency International Canada (TI-Canada), founding Executive Committee Member of the Centre for Excellence on Corporate Social Responsibility (CSR) and assisted in the development of the Extractive Sector Transparency Measures Act (ESTMA).



Thursday, February 21, 2019
4:15 – 6:00pm

4:15 pm – Registration
4:30 pm – Presentation and Q&A
5:55 pm – Closing Remarks



Segal Graduate School of Business – Simon Fraser University

500 Granville Street, Vancouver, BC
Room 2300


Seminar is complimentary and seats are limited. Register by Tuesday, February 19, to secure your place. Please RSVP by replying to if you are interested in attending. This is an excellent networking opportunity and there is no charge to attend.


Thank you to our sponsor, Simon Fraser University’s Segal Graduate School of Business, for providing the space!


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