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David M. Gilkes
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David M. Gilkes
President, North Star Compliance & Regulatory Solutions Inc.


Email: david.gilkes@pcmacanada.com
Telephone: 416.915.4219
www.northstarcompliance.com


David is the President of North Star Compliance & Regulatory Solutions Inc.

David has over 30 years of experience in in research, investigation and regulation of firms in financial industries including 7 years at the Ontario Securities Commission. David is the President of North Star Compliance & Regulatory Solutions Inc. which provides regulatory and strategic consulting to firms in the securities and investment management industry.  North Star focuses on matters relating to registration, compliance, business conduct, operations, finance, anti-money laundering and enforcement.  

 

David was the Manager of Registrant Regulation for the OSC, where he oversaw the registration and conduct of over 60,000 individuals and firms in Canada’s largest capital market.  He led and participated in OSC and the Canadian Securities Administrators (CSA) registration and compliance related policy initiatives, including leading the OSC team developing and drafting National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations (Registration Reform). David was also Chair of the CSA Standing Committee on Registrant Regulation.

 

David started his career in research, investigation and regulation of firms and markets working with the Competition Bureau of the Federal Government. David has also worked 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. 

Publications

Anti-Money Laundering 101 for Exempt Market Dealers

"I’m from the government, and I’m here to help…”

Is So! Is Not! – Just Who is an Accredited Investor?

Compliance with the Accredited Investor Exemption - A Nine-Point Plan for EMDs

Exempt Market Dealers and Broker Warrant Compensation

The day the regulators learned about the Exempt Market

 

 

Legal