Market Analysis Consultant

Trade Agreement: CFTA / FTAs with Peru / Colombia / Panama / Korea Tendering Procedures: Generally only one firm has been invited to bid Non-Competitive Procurement Strategy: Exclusive Rights Comprehensive Land Claim Agreement: No Vendor Name and Address: Compliax Consulting Inc. 69 Sir Williams Lane Toronto Ontario Canada M9A1V2 Nature of Requirements:

Market Analysis Consultant

M6500-211763/A Carriere, Nancy Telephone No. (613) 286-5423

Due to the impacts from the COVID-19 pandemic, you cannot submit a statement of capability by mail or fax. Only email will be accepted.

1.Advance Contract Award Notice (ACAN)

An ACAN is a public notice indicating to the supplier community that a department or agency intends to award a contract for goods, services or construction to a pre-identified supplier, thereby allowing other suppliers to signal their interest in bidding, by submitting a statement of capabilities. If no supplier submits a statement of capabilities that meets the requirements set out in the ACAN, on or before the closing date stated in the ACAN, the contracting officer may then proceed with the award to the pre-identified supplier.

2.Definition of the requirement

The Royal Canadian Mounted Police (RCMP) has a requirement to obtain the services of a capital markets expert to independently review, assess, and opine on a complex and voluminous body of evidence gathered by the RCMP’s Toronto Integrated Market Enforcement Team (IMET).

This requirement will be for a period of contract award to six (6) months later.

In this specific RCMP investigation, the trading expert is responsible for

Review the evidence and advise if further evidence or witnesses information is needed.

Assist the prosecuting crown in reviewing the evidence The expert’s independent opinion will assist crown counsel in defining the case and the direction of the prosecution, thereby making the entire process more efficient.

Assist the judge or jury in understanding the complexities of securities trading and to understand the facts presented to them during a criminal court proceeding. The expert fills a key role in explaining the markets, key terms and what constitutes a market manipulation from a position of impartiality.

3.Criteria for assessment of the Statement of Capabilities (Minimum Essential Requirements)

The Contractor must provide their services (in person) at the RCMP’s Toronto Integrated Market Enforcement Team (IMET) located in Toronto, Ontario.

The RCMP has a requirement for one (1) equity trading expert or company specialized in insider trading and manipulation cases who has a complete understanding of the inner workings of the IIROC and Toronto Stock Exchange (TSX) and their rules and policies and who is also available immediately.

Any interested supplier must demonstrate by way of a statement of capabilities that it meets the following requirements:

• a university degree in business, commerce or law and a minimum of ten (10) years combined demonstrated professional experience working in the Canadian capital markets.

• a senior regulator/investigator with a provincial securities commission, self-regulatory organization or stock exchange.

• a senior compliance officer or a senior executive with a stock brokerage firm or other capital market firm. (i.e.: Brokerage house, Investment Bank etc.)

• 15 years’ demonstrated experience with securities and financial markets.

• must be able to obtain an appropriate level of Enhanced Reliability Security Clearance.

• must be able to obtain an appropriate level of RCMP Enhanced Reliability Security Clearance.

• must be available to work in Toronto, Ontario.

• in-depth proficiency with investigative procedures of Investment Industry Regulatory Organization of Canada (IIROC).

• in-depth proficiency with investigative procedures of the Toronto Stock Exchange (TSX).

• preference will be extended to applicants possessing a professional credential in law (J.D. or L.L.B.) or in accounting (C.P.A.)

• preference will be extended to applicants with previous work in a criminal court environment.

• preference will be extended to applicants who have previously qualified as an expert in criminal court.

4.Applicability of the trade agreement(s) to the procurement

This procurement is subject to the following trade agreement(s): o Canadian Free Trade Agreement (CFTA) o Canada-Chile Free Trade Agreement (CCFTA) o Canada-Colombia Free Trade Agreement o Canada-Honduras Free Trade Agreement o Canada-Korea Free Trade Agreement o Canada-Panama Free Trade Agreement o Canada-Peru Free Trade Agreement (CPFTA)

5.Justification for the Pre-Identified Supplier

The only known contractor available to perform the services of the contract in the Toronto, Ontario geographical area.

6.Government Contracts Regulations Exception

The following exception to the Government Contracts Regulations is invoked for this procurement under subsection 6(d) - "Only one person or firm is capable of performing the contract."

7. Exclusions and/or Limited Tendering Reasons

The following exclusion(s) and/or limited tendering reasons are invoked under the section of the trade agreement(s) specified):

o Canadian Free Trade Agreement (CFTA) - Article 513, 1(b) (iii) o Canada-Chile Free Trade Agreement (CCFTA) - Article Kb-09 (1b) o Canada-Colombia Free Trade Agreement - Article 1409 (b iii) o Canada-Honduras Free Trade Agreement - Article 17.11, 2b (iii) o Canada-Korea Free Trade Agreement - Article 16.10b (iii) o Canada-Panama Free Trade Agreement - Article 16.10 1b (iii) o Canada-Peru Free Trade Agreement (CPFTA) - Article 1409 1(b iii)

8. Ownership of Intellectual Property

o Ownership of any Foreground Intellectual Property arising out of the proposed contract will vest in the Contractor.

9.Period of the proposed contract or delivery date

The proposed contract is from award to six (6) months later.

10.Name and address of the pre-identified supplier

Compliax Consulting Inc. 69 Sir Williams Lane Toronto, Ontario M9A1V2 Canada

11.Suppliers' right to submit a statement of capabilities Suppliers who consider themselves fully qualified and available to provide the goods, services or construction services described in the ACAN may submit a statement of capabilities in writing to the contact person identified in this notice on or before the closing date of this notice. The statement of capabilities must clearly demonstrate how the supplier meets the advertised requirements.

12.Closing date for a submission of a statement of capabilities

The closing date and time for accepting statements of capabilities is November 30, 2020 at 2:00 pm.

13.Inquiries and submission of statements of capabilities

Inquiries and statements of capabilities are to be directed to

Nancy Carrière Supply Specialist Public Works and Government Services Canada 86 Clarence Street, 2nd Floor Kingston,Ontario Telephone: (613)286-5423 E-mail Address: Nancy.Carriere@pwgsc.gc.ca

Delivery Date: Above-mentioned

You are hereby notified that the government intends to negotiate with one firm only as identified above. Should you have any questions concerning this requirement, contact the contracting officer identified above.

An Advance Contract Award Notice (ACAN) allows departments and agencies to post a notice, for no less than fifteen (15) calendar days, indicating to the supplier community that it intends to award a good, service or construction contract to a pre-identified contractor. If no other supplier submits, on or before the closing date, a Statement of Capabilities that meets the requirements set out in the ACAN, the contracting authority may then proceed with the award. However, should a Statement of Capabilities be found to meet the requirements set out in the ACAN, then the contracting authority will proceed to a full tendering process.

Suppliers who consider themselves fully qualified and available to provide the services/goods described herein, may submit a statement of capabilities in writing to the contact person identified in this Notice on or before the closing date of this Notice. The statement of capabilities must clearly demonstrate how the supplier meets the advertised requirements.

The PWGSC file number, the contracting officer's name and the closing date of the ACAN must appear on the outside of the envelope in block letters or, in the case of a facsimile transmission, on the covering page.

The Crown retains the right to negotiate with suppliers on any procurement.

Documents may be submitted in either official language of Canada.