Équipe de direction
Richard Carleton is the CEO of CNSX Markets Inc. In this role he is responsible for the strategic direction and management of the Canadian Securities Exchange. Prior to this appointment, Richard served as Vice-President Corporate Development with responsibility for the technology, operations and trading sales teams for the CSE. Prior to joining the exchange, Richard worked as a business development consultant, after spending twelve years with the Toronto Stock Exchange, serving most recently as a member of the exchange’s senior management team. Active in industry affairs, Richard served two terms as chair of the market data industry’s global trade association in the late 1990's, is a frequent panelist at market structure and trading technology events and serves as a member of the TMX Information Processor Governance Committee. A member of the Law Society of Upper Canada since 1987, Richard is a graduate of the University of Ottawa (B.A. ’81) and the University of Toronto (LL.B. ’85). He has also completed the executive development programme at the Wharton School, University of Pennsylvania.
Jamie AndersonGeneral Counsel & Corporate Secretary
Reporting to the CEO, Mr. Anderson has responsibility for advising the exchange on all legal matters including securities, corporate-commercial, real estate, employment, and intellectual property law. Mr. Anderson leads the organization’s corporate governance programme and advises the CSE Board in terms of governance practices and direction. His portfolio also includes a broad range of company-wide strategic and regulatory issues, as well as being the CSE’s Chief Privacy Officer. Mr. Anderson is a member of the Ontario Securities Commission’s Market Structure Advisory Committee. Mr. Anderson also leads a consultancy practice in the areas of compliance, governance, and business process re-engineering whose clients include major Canadian banks, life insurers, and investment managers. Mr. Anderson chaired the Canadian Capital Markets Association’s Legal and Regulatory Working Group to successfully transition Canada to T+2 settlement.
Prior to joining the CSE, Mr. Anderson held executive and senior level roles at several of Canada’s largest and systemically important financial institutions, including The Canadian Depository for Securities Limited where he was most recently Chief Legal Officer. He has championed many strategically important transactions and initiatives including large M&A deals, complex litigation, and default resolutions. He has authored many papers, including “Accessing and Use of Securities Clearing – Fit in Finance” in Thomson Reuters’s “Law in International Finance”.
Mr. Anderson received his B. Comm. (Finance), B. Sc. (Economics), and LL.B. from Dalhousie University, MBA (Management) from Saint Mary’s University, and LL.M. (Banking & Financial Services) from York University (Osgoode Hall Law School). He is a member of the Law Society of Ontario. Mr. Anderson is Vice-Chair of the Board of Management of Swansea Town Hall (an agency of the City of Toronto) and Chair of its Governance Committee.
Robert CookSenior Vice President, Market Development
Prior to joining the CSE, Rob Cook held the position of Vice President, Market Surveillance, Market Regulation Services Inc., which was created in 2001 by the Toronto Stock Exchange (TSE) and the Investment Dealers Association of Canada (IDA) to regulate Canadian markets. His mandate was to monitor trading, ensure timely disclosure of publicly traded companies and compliance by investment dealers with the trading rules.
Mr. Cook had a 19-year career at the Toronto Stock Exchange where he held a number of positions in listed company regulation including Director, Original Listings, followed by six years as Director, Market Surveillance. Prior to joining the TSE, Mr. Cook worked in the mining industry for three years as a mineral economist for both Rio Algom Limited and the consulting firm of Derry, Michener and Booth. As a member of the Mining Standards Task Force formed by the OSC and the TSE, which issued its final report in January 1999, he played an instrumental role in developing a new regulatory model for Canadian publicly traded companies engaged in mining exploration, development and production. Mr. Cook holds a Bachelor of Arts in Economics from York University (1977) and a Master of Business Administration from the University of Western Ontario (1979).
Mark FaulknerVice President, Listings & Regulation
Mark is responsible for rule development and the ongoing regulation of the CSE. As Vice President, Listings & Regulation of the CSE, Mark is also responsible for the review of Listing Applications and Listed Company compliance with the CSE Policies. Prior to joining the CSE in 2003, Mark had a 14 year career at the Toronto Stock Exchange and Market Regulation Services ("RS") in both trading services and regulatory positions. As Manager of Investigations in Market Surveillance, responsibilities encompassed various regulatory matters, including Internet Surveillance, market investigations and insider trading reviews. Mark played the primary role in the development and implementation of automated market maker performance systems, introduced the use of link analysis in Market Surveillance Investigations, and developed the Closing Report for TSX participants. Mark has studied market surveillance and investigative practices and procedures through the Ontario Securities Commission, the Criminal Intelligence Service of Ontario, and the U.S. Securities and Exchange Commission Training Institute. While at RS, he served as Chairman of the Surveillance Practices subgroup of the Intermarket Surveillance Group ("ISG"), an international group representing more than 30 exchanges around the world.
David TimpanyVice President, Technology & Operations
David Timpany is the VP, Technology and Operations for the Canadian Securities Exchange (“CSE”). Mr. Timpany is responsible for leading the design, development and implementation of organizational information systems, software applications, IT support and infrastructure systems. Prior to joining the CSE, David was a Project Manager at Basis 100/EFA software where he managed the software development and implementation for many stock exchanges throughout the world. At the Haskayne School of business, University of Calgary, David earned a Bachelor of Commerce degree with a concentration in Management Information Systems (MIS) in 1997.
James BlackVice President, Listings Development
James Black is the VP, Listings Development for the Canadian Securities Exchange (“CSE”). Based in Toronto, ON Mr. Black manages the CSE’s domestic and international programs for attracting exciting new companies to the exchange as well as evangelizing the CSE as “the Exchange for Entrepreneurs”.
Prior to James’ tenure at the CSE, he was a manager at the National Angel Organization where his focus was on helping Angel groups launch, network with one another, and establish best practices for investing. He graduated from Ryerson University in Toronto with Honours majoring in Entrepreneurial studies.