Compliance Consultant North Star Compliance & Regulatory Solutions Inc.
David has over 35 years of experience in research, investigation and regulation of firms in financial industries. He is the Founder and President of North Star Compliance & Regulatory Solutions Inc. which provides regulatory and strategic consulting to firms in the investment industry. North Star focuses on matters relating to registration, compliance, business conduct, operations, finance, anti-money laundering and enforcement.
Prior to founding North Star Compliance, David was the Manager of Registrant Regulation for the OSC for seven years. He led and participated in OSC and CSA policy initiatives, including leading the OSC team developing and drafting National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations (Registration Reform). He was also Chair of the CSA Standing Committee on Registrant Regulation for five years.
The early years of his career were spent in research, investigation and regulation of firms and markets working with the Competition Bureau of the Federal Government. His experience also includes working in a consulting capacity to firms in the financial markets while at a large professional services firm, and at a boutique consulting firm.
David earned his B.A. in Economics from McMaster University and his M.A. in Economics from Carleton University. He is currently a director of the Private Capital Markets Association of Canada. On a personal note, David and his wife are proud Hamiltonians and lifelong fans of the CFL’s Hamilton Tiger-Cats.