The Royal Canadian Mounted Police (RCMP) has a requirement to obtain the services of a Subject Matter Expert (SME) specialized in market-related matters within the context of criminal code offences and Acts that may affect the integrity of Canadian Capital Markets. The purpose of this Advance Contract Award Notice (ACAN) is to signal the government's intention to award a contract for these services to
Michael Watson, 127 Timpson Drive, Aurora, Ontario, L4G 5N2. Before awarding a contract, however, the government would like to provide other suppliers with the opportunity to demonstrate that they are capable of satisfying the requirements set out in this Notice, by submitting a statement of capabilities during the 15 calendar day posting period.
If other potential suppliers submit a statement of capabilities during the 15 calendar day posting period that meet the requirements set out in the ACAN, the government will proceed to a full tendering process on either the government's electronic tendering service or through traditional means, in order to award the contract.
If no other supplier submits, on or before the closing date, a statement of capabilities meeting the requirements set out in the ACAN, a contract will be awarded to the pre-selected supplier.
1.0 Background
Maintaining investor confidence in Canada’s publicly-traded companies and capital markets is crucial to sustain Canada’s economy. Integrated Market Enforcement Teams (IMETs) strengthen the law enforcement community’s ability to detect, investigate and deter capital markets fraud by focusing resources on investigating and prosecuting the most serious corporate frauds and market illegalities. IMETs help promote compliance with the law to ensure Canada’s markets are safe and secure.
2.0 Requirements
The RCMP has a requirement for one (1) Subject Matter Expert (SME) specialized in market-related matters within the context of criminal code offences and Acts that may affect the integrity of Canadian Capital Markets. The SME must have complete understanding of the rules and processes that form the baseline of activity in Canadian and international capital markets, current business and accounting practices in order to be able to identify patterns, links, trends and gaps in order to make connections between financial situations and to identify omissions and or deviations from authorized or acceptable trading practices, corporate processes and/or governance standards
The Subject Matter Expert is responsible for:
1. Providing operational advice on interpreting laws and documents;
2. Drafting or reviewing documents to ensure correctness and completeness;
3. Reviewing IMET case files for completeness;
4. Examining opinions and decisions of outside counsel;
5. Reviewing and interpreting case law as it applies to Canadian capital markets;
6. Anticipating civil ramifications of IMET related actions and activities;
7. Assisting in IMET investigations involving the legal profession;
8. Acting as liaison between IMET investigators and counsel
3.0 Tasks
Tasks required to be performed and deliverables provided by the SME will vary depending upon the nature of the assignment and may include but not limited to the following:
conduct investigative advisory assignments given by authorized Officer-in-Charge (OIC)
advise IMET investigators in assessing facts surrounding alleged illegal capital market crimes and provide advice and input to investigators from an industry expert perspective. These tasks may occasionally include interviewing witnesses and possibly suspects.
meet with IMET clients and partner agencies to review possible cases to determine the best venue in which to investigate same. (ie. Criminal or regulatory);
review case facts as collected by IMET investigators and act as a Crown expert witness in relation to capital market/stock market crime;
assist in the preparation of search warrants by offering expert opinions on specific case facts. These opinions will be included in affidavits to obtain judicial authorizations;
prepare comprehensive expert reports for investigations and/or court purposes which outline the scope of assigned work, appropriate analysis and expert conclusions;
testify in court for criminal and/or regulatory enquiries and render opinions where applicable.
provide training sessions on capital market topics to IMET investigators as requested;
work in conjunction with other RCMP units, sections, branches or directorates or other law enforcement and government agencies, domestically and internationally and;
Any other duty required to determine and formulate advice to IMET investigators on what evidence is required to prove the elements of an offence, i.e.) what evidence might exist; where to find relevant evidence; how to interpret the evidence gathered; who to interview; what to ask them; and, the significance of the non-existence of certain evidence.
Location of Work and Travel
The SME must be able to work from the RCMP Integrated Market Enforcement Program office located at 345 Harry Walker Parkway S, Newmarket, Ontario between the hours of 9am to 5pm Monday to Friday.Travel may be required to Ottawa or elsewhere as required.
Language of Work
The SME must be fluent in the English Language both orally and in writing.
6.0 Contract Period
The proposed contract is from February 1, 2016 for a period of 1 year with the option of extending the contract by 4 additional 1 year periods.
7.0 Estimated Value
The estimated value of the initial contract period and all option periods including travel is $1,152,600.00 (GST/HST extra).
8.0 Minimum Essential Requirements
Any interested supplier must demonstrate by way of a statement of capabilities that it meets the following requirements:
An undergraduate University degree in business, commerce or law, from an accredited University, and a minimum of ten (10) years combined demonstrated professional experience within the past 15 years working in the Canadian Capital Markets in any of the following:
a senior regulator 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 RCMP Top Secret Security Clearance
Must be available to work in the Toronto Area.
9.0 Exemption to the Government Contract Regulations
Part 1, Section 6 (d) of the Government Contract Regulations is being invoked in this procurement as the only one known person or firm that is capable of performing the contract.
10.0 Trade Agreements
This requirement is not subject to any Trade Agreements.
Financial services are exempt from coverage under the North American Free Trade Agreement, Chapter 10, the WTO (Agreement on Government Procurement), and the Agreement on Internal Trade, Chapter 5
11.0
Justification for the Pre-Selected Supplier
This requirement was posted competitively on MERX in 2009, 2010 and 2011. From these solicitations, no compliant bids were received. An ACAN was posted in 2012 under requisition 201300143 and no challenges were received.
Michael Watson meets the minimum essential requirements and is believed to be the only known consultant capable of performing the duties outlined in the Statement of Work
12.0
Intellectual Property
Any Intellectual property arising from this contract will rest with the Contractor.
13.0 Submission of Statement of C605/437/EI 10. KPMG LLP EN578-055605/335/EI 11. Logic 2000 Incorporated EN578-055605/588/EI 12 MGIS Inc, B.D.M.K. Consultants Inc. In Joint Venture EN578-055605/555/EI 13..Solana Networks EN578-055605/597/EI 14. Systematix IT Solutions Inc. EN578-055605/351/EI 15. The KTL Group, Inc. EN578-055605/302/EI
Un seul contrat sera attribué à la suite de la présente invitation.
LES SOUMISSIONNAIRES SONT AVISÉS QUE LE SEOAG N’EST PAS RESPONSABLE DE LA DISTRIBUTION DES DOCUMENTS D’INVITATION À SOUMISSIONNER.
Les demandes concernant la présente DP doivent être acheminées à l’agent des contrats listé ci-dessous : Numéro du dossier : 14-82643 Agent des contrats : Emilie Hamelin Boileau Adresse électronique : emilie.hamelin-boileau@international.gc.ca
