Darren’s 20-year career includes six years in litigation for the City of Calgary law department and over 15 years providing compliance leadership in the Canadian wealth management industry. He specializes in developing, implementing and oversight of compliance programs.

 

Darren has experience working with regulators, Investment Fund Managers, Portfolio Managers and Exempt Market Dealers. This has included monitorships, drafting and implementing Policies and Procedures manuals, conducting prosecutions, registrations, risk management, client complaints, internal investigations, compliance reviews by regulators and project management.

 

With a broad educational and work background, Darren brings a well-rounded perspective to regulatory issues and is able to design a compliance program which seamlessly integrates with the business objectives of the company.

 

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