MBA, CPA, CA

After more than 25 years in the brokerage industry, James has gained extensive knowledge of the regulatory and financial reporting requirements in the Canadian brokerage industry with in-depth exposure to corporate finance, treasury, credit, risk management, internal controls, audit functions, and regulatory reporting. He spent many years as Chief Financial Officer at a number of Toronto brokerage firms after cutting his teeth as a securities regulator in Markets and Member Regulation at the Toronto Stock Exchange and in securities finance and risk management with various securities dealers. James is a Chartered Professional Accountant, CPA, CA and holds a Masters of Business Administration from York University. He has also completed most relevant securities educational programs in Canada and the US, including the Chief Financial Officer and Chief Compliance Officer exams and has a thorough understanding of the regulatory environment.