With over twenty years of experience in the securities industry, Douglas has held several senior compliance roles at member firms including Chief Compliance Officer, Ultimate Designated Person, officer of a U.S. NASD member firm, and Director of a national investment dealer.  Douglas has extensive industry knowledge and expertise which has evolved through his hands-on experience at investment dealers, mutual fund dealers, Portfolio Managers; and mutual fund companies.

In addition to his responsibilities at the firms he has worked for, Douglas has served the industry on many committees including IIROC and IFIC committees addressing the issues of suitability, managed accounts and OTC Bulletin Board trading.  He has served as a Director of the Canadian Derivatives Clearing Corporation and has been a delegate to the Toronto Stock Exchange Derivatives Markets Committee.

Author of the publication: Exploring Options – A Practical Guide to Options Trading (Penguin 1996), Douglas has also authored newspaper and magazine articles on options and other investment topics for publications such as the Globe and Mail and Fifty Plus magazine and is a sought-after speaker at industry conferences and events.

With thirty years of experience in the securities industry of which twenty were spent in the compliance field, Michael has held several roles at member firms including Alternate Designated Person, Alternate Registered Options Principal and Officer.  Michael garnered valuable experience supervising the Compliance Division for a national Carrying Broker for 11 years.  This experience introduced Michael to the challenges faced by IIROC Members both large and small, as well as Portfolio Management firms.

Michael also served as a consultant to the Canadian Securities Institute for 8 years. His responsibilities included grading the Senior Partners, Directors and Officers Examination; the Branch Managers Examination and assisting in course development.

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