NURTURING GROWTH

As an experienced Chief Compliance Officer, I understand that change is not always easy. My experience has taught me how to assist in policy development, implementation and employee training by assessing their needs as they face regulatory opportunities and challenges. I have the necessary skills to help your firm build an effective compliance infrastructure suited to your registration and business model. My clientele range from CIRO Dealer Members to securities commission registrants (Investment Fund Manager, Exempt Market Dealer & Portfolio Managers) and compliance software products and tools 

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