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Richard Carleton

CEO

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.

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Mary Anne Palangio

CFO

Mary Anne Palangio is Chief Financial Officer of the Canadian Securities Exchange.  Her role includes managing and directing the accounting and financial reporting functions for the company as well as administration and human resources.  Additionally, she works closely with the CEO and senior management team on corporate strategy and business development.  Mary Anne was a Director of the company from 2016 through to her resignation in early 2020 to take on her current role.  During this period she served as Chair of the Audit Committee and as Chair of the Human Resources Committee.

Mary Anne was previously CFO at Converge Technology Solutions Corp., a publicly traded North American hybrid IT solutions provider and prior to that she was the CFO of LOGiQ Asset Management Inc., a publicly traded asset management firm.  Previously Mary Anne spent over 7 years at Manulife in the following roles:  SVP, Global Head of Operations and Data Management, Investment Division; SVP, Chief Information Officer, Group Functions; and VP, General Fund Investment Systems.  Before joining Manulife, Mary Anne held senior finance and investment operational roles with Perimeter Financial Corp., The Canada Life Assurance Company, Mackenzie Financial Corporation and Ontario Teachers Pension Plan.  Mary Anne started her career with Deloitte where she obtained her Chartered Accounting designation.  She is a CPA, CA and CFA and holds a BA in Commerce and Economics from the University of Toronto.

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Jamie Anderson

General 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.

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Robert Cook

Senior 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).

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Pina De Santis

Vice 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.

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Mark Faulkner

Vice 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.

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David Timpany

Vice 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.

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James Black

Vice 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.

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Andrew Grovestine

Vice President, Clearing & Settlement

Andrew Grovestine is Vice President, Clearing & Settlement at the Canadian Securities Exchange (CSE).  In this role, Andrew serves as an officer of the CSE and is a member of its Senior Management Team.  Andrew’s mandate is to introduce digital security tokens as the new median for public issuers to list, by way of prospectus, on the CSE.  These security token issuers will follow existing listing requirements as set fourth by the CSA and the Exchange. 

With the introduction of publicly traded security tokens, Andrew is designing, along with several other regulated entities in Canada, a bi-lateral clearing & settlement programme to support same day token clearing and T+1 net cash settlement.  The new programme will connect the CSE, other trading marketplaces, transfer agents, depositories, IIROC members, custodians, securities lending providers and a regulated clearing corporation together on distributed ledger technology (blockchain).  The result of the tokenization programme will allow for the modernization of clearing and settlement in Canada by: providing all parties with a single source of true data, provide greater utilization of dealer Risk Adjusted Capital, significantly reduce the manual reconciliation efforts performed by dealers and, allow issuers much more flexibility in the design of their equity characteristics (e.g., fractionalization and royalty streaming).

Mr. Grovestine has over twenty years experience in capital markets.  Most recently, he was Country Head and UDP of an IIROC Member.  Prior to that, he headed up Canaccord Genuity’s carrying broker business, served as TMX’s business development lead in the USA, and has ten years of experience working at three custodians in Canada where he led customer facing technology design and servicing.  

Andrew served on the IIROC Ontario District Council for two consecutive terms (2015-2018).  He currently sits on the IIROC Crypto Asset Working Group.

 

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