Richard Carleton has been CEO of the Canadian Securities Exchange for seven years. Prior to this appointment, Richard served as Vice-President Corporate Development with responsibility for the CSE’s technology, operations, market data and trading sales teams. Before joining the exchange, Richard worked as a business development consultant in Toronto and New York in the risk management and index product fields 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 and is a frequent panelist at market structure and trading technology events across North America. Richard also serves as a member of the boards of the Private Capital Markets Association and the Empire Club of Canada.
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.
Adam ConyersChief Financial Officer
Adam Conyers is Chief Financial Officer and Senior Vice-President of CNSX Markets Inc. His role includes managing and directing the accounting and financial reporting functions for the company as well as administration and human resources. Additionally, he works closely with the CEO on corporate strategy and business development. Adam’s involvement with the company dates back to 2002 when he was a consultant to the creation of the company. He was also a Director of the company from 2003 through to his resignation in late 2015 to take on his new role. During this period he has served as Board Chair, as a member of the Audit Committee and as Chair of the Human Resources Committee.
Adam was previously CFO at Voyport Group Holdings, LLC a company developing a low cost, high quality international voice roaming system for business travellers and Gedex Inc. a company developing technology for high resolution airborne resource exploration. Prior to that, Adam spent five years with the Toronto Stock Exchange in a variety of roles including CFO, SVP Market Services and President of the Toronto Futures Exchange. Adam started his career with Price Waterhouse where he obtained his Chartered Accountant’s qualification and also spent several years with Price Waterhouse Limited working on insolvency and restructuring files.
At Trinity College, University of Toronto, Adam earned a Bachelor of Commerce degree in 1980. He also attended the Advanced Management Program at the Wharton School of Business in 1999 and holds an ICD.D designation from the Institute of Corporate Directors. Adam is a Director and Treasurer of the Green Durham Association and serves on two Independent Review Committees.
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
Mr. Cook is primarily responsible for the development of a range of services to companies listed on the CSE and for the composition and maintenance of the CSE Composite Index. He has been a member of the executive management team of the exchange since 2002. He currently serves on the Ontario Securities Commission’s Small and Medium Enterprise Advisory Committee. Immediately prior to joining the CSE, he held the position of V-P 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.
Rob had a 19-year career at the TSE where he held a number of positions in listed company regulation including Director, Original Listings, followed by six years as Director, Market Surveillance. Before that he worked in the mining industry for three years as a mineral economist for a major mining company and an international consulting firm.
Rob holds an Honours BA in Economics from York University (1977) and an MBA from the Ivey School of Business, University of Western Ontario (1979).
Pina De SantisVice President, Corporate Development
Pina De Santis is Vice President, Corporate Development responsible for strategy, sales and business development activities for the trading and market data business lines at the CSE. Pina has extensive experience in the Canadian capital markets industry. Prior roles include Director, Business Development at the Toronto Stock Exchange and served for many years as a committee member of the Financial Information Industry Association based in the US. She began her career as an analyst and institutional equity trader at Walwyn Stodgel in Montreal. In addition to her extensive work experience, Pina is passionate about giving back to the community and is a board member of various non-profit organizations focused on Seniors and community healthcare. Pina holds a bachelor’s degree in Economics and is multi-lingual.
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.