PCMA

5th Annual PCMA Private Capital Markets Conference
Monday, May 9, 2016 | 8:00 am - 8:00 pm | The Toronto Region Board of Trade
“Launching A New Era Of Opportunity In The Private Capital Markets.
What Is Your Strategy to Succeed In Canada’s Largest Capital Raising Market?”
2016
PCMA
Private Capital Markets Conference
GOLD SPONSOR SILVER SPONSORS BRONZE SPONSOR
BREAKOUT SESSIONS SPONSORS
COCKTAIL RECEPTION SPONSOR
Follow all conference updates on social media @PCMACanada | #PCMACO

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TABLE OF CONTENTS | MENU
4 Event Press Release
6 Conference Agenda
8 Keynote Speaker BIO
10 - 22 Conference Speakers BIOs
12 PCMA Membership Benefits
Breakfast
Freshly Squeezed Orange Juice and Cranberry Juice
Freshly Baked O&B Artisan Butter Croissants and Mini Danishes
Seasonal Selection of Breakfast Muffins
Low Fat Activia Yogurt
Market Fresh Fruit Salad
Butter and Ontario Fruit Preserves
Freshly Brewed Coffee and Selection of Teas
Lunch
Tender Baby Greens & Fennel Salad, Dried Cranberries, Sunflower
Seeds, Radish, Strawberry Dressing
Lemon & Rosemary Scented Chicken Breast,
Brown Rice & Adzuki Bean Salad, Roasted Red Pepper, Cherry
Tomato, Artichoke, Grilled Scallion Sauce Vierge
O&B Mini Treats
Freshly Brewed Coffee & Selection of Teas
The PCMA is grateful for the support of our sponsors:
GOLD SPONSOR SILVER SPONSORS BRONZE SPONSOR
BREAKOUT SESSIONS SPONSORS
COCKTAIL RECEPTION SPONSOR
EXHIBITORS
Computershare
Direct Capital Investments Inc.
IFSE Institute
LendingArch
OmniArch
TIMC
Univeris
CORPORATE TABLES
BCF Business Law
GMP Securities L. P.
ICM Realty Group
Invico Capital Corporation
MNP Corporate Finance Inc.
Newport Private Wealth
ONMICA
Pinnacle Wealth Brokers
Portfolio Strategies Corporation
PowerOne Capital Markets Limited
Solar Income Fund
NETWORKING BREAKS SPONSORS
Crawley MacKewn Brush LLP
Raintree Corporate Finance
SWEET TABLE SPONSOR
Wealth Creation Corporation
www.pcmacanada.com
3

EVENT PRESS RELEASE
The Honourable Charles Sousa, Ontario Minister of
Finance to speak at the 5th Annual PCMA Private Capital
Markets Conference on May 9th
Announcement of the Winners of the 2016 PCMA Private
Capital Markets Awards
April 21, 2016 - The Private Capital Markets Association of
Canada (PCMA) is pleased to announce the 5th Annual Private
Capital Markets Conference (the 2016 PCMA Conference) and
PCMA Awards ceremony taking place on May 9th, 2016 at the
Toronto Board of Trade. The event is open to the media.
The Honourable Charles Sousa, Ontario Minister of Finance will
deliver a keynote address on behalf of the Ontario Government.
Minister Sousa states that “Strong private capital markets are
essential to building our infrastructure, growing our economy and
supporting vibrant communities. Private capital markets are one of the
critical pathways to launch ideas and grow companies. We continue
to expand and strengthen our private capital markets to support a
strong foundation for our economy in Ontario and Canada.”
The 2016 PCMA Conference will be focused on the following
theme “Launching A New Era Of Opportunity In The Private Capital
Markets - What Is Your Strategy to Succeed In Canada’s Largest
Capital Raising Market?”
Geoffrey Ritchie, PCMA Vice-Chair states, “Capital raised in the
exempt market helps finance key business growth and economic
development across Canada. It is an important contributor to
job creation, supporting entrepreneurial businesses, creating
wealth for investors and securing both public pension and private
retirement savings. The private markets have grown considerably
in recent years and the total amount of capital raised through
exempt distributions continues to exceed $100+ billion a year and
continues to far outpace capital raising in the public markets.”
The 2016 PCMA Conference will feature a great line up of speakers
including senior capital markets regulators, leading experts
in capital raising, issuer strategy and product design, dealer
operations and sales and investor development specialists in the
private capital markets. Over 300 industry members are expected
to attend the event including entrepreneurs, exempt market
dealers, private capital issuers, legal, accounting, compliance,
private equity, venture capital, and investment professionals.
Georgina Blanas, PCMA Executive Director notes, “We are deeply
grateful to our members, sponsors and supporters for their
commitment and engagement with the PCMA – the largest Private
Capital Markets Community in Canada. The PCMA has become
an ideal vehicle to bring together the huge talent and collective
wisdom of our dealing representatives, dealers and issuers across
the country with the goal of transforming the private markets into
the best place to raise capital and invest.”
The PCMA would like to thank the 2016 Conference Sponsors for
their support of this important industry event: Fundserv, Torys LLP,
Walton International Group Inc., Western Investment Properties,
Romspen Mortgage Investment Fund, Cranson Capital, Firmex,
KPMG, North Star Compliance and Regulatory Solutions, TIMC,
TMX Private Markets, Crawley MacKewn Brush LLP, Raintree
Corporate Finance and Wealth Creation Corporation.
The PCMA would like to thank the PCMA Partners: Arlington
Street Investments, Brookstreet Mortgage Investment Corporation,
IBK Capital Corp., Knightswood Financial Corp., McLeod Law
LLP, MNP Corporate Finance, Pinnacle Wealth Brokers, Portland
Investment Counsel, PowerOne Capital Markets Limited, PwC
Canada, Univeris, Walton International Group Inc., WeirFoulds LLP.
2016 PCMA Private Capital Markets Awards
As in past years, the conference will include the presentation of
the 2016 PCMA Private Capital Markets Awards - the only national
industry awards for private capital markets professionals. The
PCMA Awards are the first awards to recognize excellence in the
private capital markets and the activity of PCMA members across
Canada engaged every day in helping to:
• finance entrepreneurs, innovators and start-up’s;
• inject capital to transition businesses;
• support and grow emerging businesses that are creating jobs in
local communities; and
• create successful private market investment opportunities for
Canadians.
Winners of the 2016 PCMA Private Capital Markets Awards
2016 PCMA Legacy Partners Award
IBK Capital Corp., PowerOne Capital Markets Limited, Morley
Salmon, PCMA Founder and Past Chairman, Walton International
Group Inc., WeirFoulds LLP
2016 PCMA Commercial Real Estate Award
ICM (VII) U.S. Core Plus Realty Trust & Pinnacle Wealth Brokers
Inc., Raintree Financial Solutions, Omnus Investments Limited,
Richardson GMP, PRIVEST Wealth Management, WealthTerra
Capital Management Inc., Triview Capital Ltd., Aligned Capital,
STEVLOC Management Inc.
ICM is a real estate investment firm with a long track record of
managing assets on behalf of some of Germany’s wealthiest
families. ICM began offering investments to Canadian retail and
accredited investors in 2012, working with a syndicate of Exempt
Market Dealers. The firm has regularly demonstrated market
leadership through its value orientation, disciplined processes and
commitment to its partners and clients. With the creation of ICM
VII in 2014, the firm introduced an innovative governance structure
that included a formal investment committee and continuing
oversight of registered portfolio managers. In 2015, ICM made a
4 www.pcmacanada.com

EVENT PRESS RELEASE
number of strategic acquisitions in the U.S. to position the firm to
achieve its targeted 12% annualized rate of return for its investors.
2016 PCMA Commercial Real Estate Award
Points West Living & Cranson Capital Securities, Raintree Financial
Solutions, Suske Capital, Triview Capital Ltd., Sussex Retirement Living
Since its inception in 2000, Points West Living has become one
of Alberta’s leading providers of quality hospitality and care for
seniors living in supportive living communities. By amalgamating
hospitality, health and residential care services, Points West Living
has embraced and implemented the very best ideas in seniors
care. Cranson Capital Securities led a capital raise of $22M for
the Points West Living Limited Partnership to acquire a portfolio
of 7 seniors housing facilities across Alberta. Total consideration
for the portfolio was approximately $100 million, including the
Cranson Capital offering, an additional $9.8M investment from
management and approximately $68M in mortgage financing.
2016 PCMA Real Estate Development Award
Rockspring Capital Texas Real Estate Trust & Raintree Financial
Solutions, TSX Private Markets, STEVLOC Management
Inc., Pinnacle Wealth Brokers Inc., Alternative Capital Group,
WhiteHaven Securities Inc., Triview Capital Ltd., Global Financial,
Meckelborg Financial Group Ltd., WealthTerra Capital Management
Inc., Accilent Capital, Robson Capital.
On a global basis, pre-development land is not only one of the
most challenging asset categories to manage but also the most
difficult to access. When purchased astutely, and structured
appropriately, it offers tremendous capital preservation and growth
opportunities. Since 2011, Rockspring has been syndicating
land located in the United States and made the opportunity
available to Canadian private market investors through a series
of partnerships with more than $50 million in equity raised. The
award is in recognition of the company’s Rockspring Capital Texas
Real Estate Trust, which featured a diversified portfolio of lands
located throughout the major markets in Texas – with a mix of
lands designated for commercial and residential end use.
2016 PCMA Corporate Finance Award
GoldMoney Inc. (BitGold Inc.) & PowerOne Capital Markets Limited.
PowerOne Capital Markets Limited acted as financial advisor to
Bitgold Inc. (now known as GoldMoney Inc.), in connection with
its $7m concurrent private placement completed in February 2015
as part of the company’s going public transaction on the Toronto
Venture Stock Exchange on May 14, 2015. At the time of listing,
Bitgold had a market capitalization of $30 million, which has since
increased to approximately $250 million as of April 2016. Further to
acting as financial advisor, PowerOne also played an integral and
strategic role to help advance the development of the platform.
2016 PCMA Diversified Mature Award
Invico Capital Corporation & Pinnacle Wealth Brokers Inc., Raintree
Financial Solutions, WealthTerra Capital Management Inc., Triview
Capital Ltd., WhiteHaven Securities Inc., Sentinel Financial Group,
Richardson GMP, Raymond James Financial, Mackie Research
Capital, Leede Financial, Aligned Capital, STEVLOC Management Inc.
The Invico Diversified Income Fund invests in a diversified portfolio
of high yield lending and investment opportunities that provide
monthly cash flow for investors. Founded in 2005 by Jason
Brooks and Allison Taylor, Invico Capital Corporation currently
manages over $200 MM capital under management. The objective
of the fund is to provide consistent, longer-term risk adjusted
returns with reduced volatility through direct control or ownership
of the underlying assets of the investments. In 2015, Invico Capital
included a truly unique opportunity in their portfolio, adding a film
credit investment into their fund that lead to their selection as the
PCMA’s Award of the Year in the “Diversified – Mature” category.
2016 PCMA Technology Award
Mirexus Biotechnologies & GreenSky Capital, Inc.
GreenSky brokered a Series A investment of $6.9M in Mirexus
Biotechnologies, producers of Phytospherix, the world’s only
natural monodisperse nanomaterial. The investment group
included a lead investor, a multi-national strategic partner,
follow-on from seed round investors (also brokered by GreenSky),
and GreenSky’s new proprietary Canadian venture capital fund.
The investment, which will finance go-to-market, applications R&D
and IP strategy, comes in two tiers, with $3.9M invested in 2015
and the remainder to be invested in 4Q ‘16.
About the Private Capital Markets Association of Canada
Since 2002, the Private Capital Markets Association of Canada
has brought together Exempt Market Dealers, exempt market
product Issuers, and professional advisers to the private capital
markets. The PCMA is the leading national industry voice for the
private capital markets to securities regulators, government and
the capital markets. The PCMA provides valuable services and
benefits to its members, including: regulatory and compliance
resources, opportunities for professional development and
industry education, exclusive insurance programs, and access
to a network of private capital markets professionals from coast
to coast. In 2012, the PCMA launched Private Capital Markets
Awards - the first and only national industry awards for private
capital markets professionals. The PCMA believes in celebrating
and promoting the success stories of the private capital markets
in Canada. For more information please visit pcmacanada.com.
For media inquiries, please contact:
Elena Mazur
Communications Director, PCMA
elena.mazur@pcmacanada.com
#PCMACO - official conference hashtag. Follow, share and join the
conversation.
www.pcmacanada.com
5

AGENDA
2016 PCMA Private Capital Markets Conference
“Launching A New Era Of Opportunity In The Private Capital Markets.
What Is Your Strategy to Succeed In Canada’s Largest Capital Raising Market?”
8:00 am Registration and Breakfast
9:00 am Welcome and Opening Remarks
Doug Bedard Chair, PCMA
Morning Sessions (4th Floor Main Ballroom)
9:05 am Presentation of 2016 PCMA Legacy Partners Awards
9:20 am Capital Market Economic Overview – the size and scope of activity, and what the future may hold
Michael Gregory CFA
Deputy Chief Economist Head of U.S. Economics, Managing Director, BMO Capital Markets
9:40 am The Regulators Perspective: an in-depth discussion with senior regulators about capital raising and prospectus
exemptions and the regulatory oversight of the private capital markets.
Paul C. Bourque Q.C. Executive Director, British Columbia Securities Commission
David C. Linder Q.C. Executive Director, Alberta Securities Commission
Huston Loke Director, Corporate Finance Branch, Ontario Securities Commission
10:30 am Networking Break
11:00 am Infrastructure Deficits in the Private Capital Markets – new options to enhance security, transparency and
efficiency in transactions and operations.
Andrew Campbell Director, Relationship Management and Sales, Fundserv
Peter Conroy President, TMX Shorcan Brokers Limited and Co-Managing Director of TSX Private Markets
Emmanuel Gonnet Vice President Product Management, UNIVERIS
Jason MacLellan Senior Sales Executive, Firmex
11:45 am Networking Break
12:00 pm Lunch
Your PCMA Building the infrastructure of our private capital markets and making our voices heard.
Geoffrey Ritchie Vice Chair, PCMA
Presentation of the 2016 PCMA Private Capital Markets Awards
Presented by Andrew McCreath Host, BNN
You receive 7.5 continuing education credits from Financial Planning Standards Council (FPSC) for attending
the 2016 PCMA Private Capital Markets Conference.
6 www.pcmacanada.com

AGENDA
Afternoon Sessions (Concurrent Sessions)
1:15 pm Networking Break
1:30 pm
Managing compliance - strategies for meeting rising compliance expectations.
4th Floor
Main Ballroom
3rd Floor
Ketchum/Osgoode/
MacDonald/Brule Room
John A. Fabello Partner, Torys LLP
David Gilkes President, North Star Compliance and Regulatory Solutions | Vice Chair, PCMA
Nadine Milne Chief Compliance Officer, Portland Investment Counsel Inc.
Ken Parker Chief Compliance Officer, Portfolio Strategies Corporation
Private lending and the private markets – issues and challenges for MICs’ and MIE’s.
Derek Jenkin EVP, Romspen Investment Corp.
Melissa MacKewn Partner, Crawley MacKewn Brush | Director, PCMA
Dianna Price EVP, Investor Relations, Romspen Investment Corp. | Director, PCMA
Geoffrey Ritchie Vice Chair, PCMA
2:15 pm
4th Floor
Main Ballroom
Creating wealth through private capital – perspectives on the product and portfolio considerations
of retail clients and family offices.
Devon Cranson CEO, Cranson Capital
Frank Lonardelli President and CEO, Arlington Street Investment
Matt Reynolds Executive VP, Lonsdale Wealth Partners | Vice Chair, PCMA
Raymond W. Sawicki Senior VP, Chief Investment Officer, Mandeville Private Client Inc.
3rd Floor
Ketchum/Osgoode/
MacDonald/Brule Room
Online Investing in Private Capital Markets – opportunities for EMDs in the new methods of raising
capital.
Pat Chaukos Manager, Compliance and Registrant Regulation, Ontario Securities Commission
Alixe Cormick Founder, Venture Law Corporation
Brian Koscak President and General Counsel, Pinnacle Wealth Brokers | Vice Chair, PCMA
Peter-Paul Van Hoeken Founder & CEO, Silver Maple Ventures | Director, PCMA
3:00 pm Networking Break
3:30 pm
Navigating the limitations and restrictions of the new Offering Memorandum Exemption.
4th Floor
Main Ballroom
3rd Floor
Ketchum/Osgoode/
MacDonald/Brule Room
4:30 pm
4th Floor
Main Ballroom
Jennie Baek Associate, WeirFoulds LLP
Peter Dunne Partner, Cassels Brock & Blackwell LLP | Director, PCMA
Brian Koscak President and General Counsel, Pinnacle Wealth Brokers | Vice Chair, PCMA
Jo-Anne Matear Manager, Corporate Finance Branch, Ontario Securities Commission
Tommy Wong Associate, Norton Rose Fulbright LLP
Making the most of your career in the private markets – education opportunities and proficiency
challenges.
Laurie M. Clark President and CEO, Smarten Up Institute
Jeanne Labbe Head of Employee Experience & Chief Communications Officer, TIMC
Kim Maggiacomo Manager of Curriculum Development, IFSE Institute
Ontario economic development and the critical role for private capital, entrepreneurs, and SME’s.
The Honourable Charles Sousa MPP and Minister of Finance
5:00 pm Closing Remarks
Doug Bedard Chair, PCMA | Georgina Blanas Executive Director, PCMA
5:15 pm Networking Cocktail Reception. Sponsored by TMX/TSX Private Markets
www.pcmacanada.com
7

KEYNOTE SPEAKER
The Honourable Charles Sousa, MPP
Minister of Finance, Ontario
www.charlessousa.onmpp.ca
Charles Sousa is Ontario’s Minister of Finance and the Member of
Provincial Parliament for the riding of Mississauga South. Charles
also serves as Vice-Chair of Treasury Board and Management
Board of Cabinet.
Charles was first elected in October 2007. He has held positions
as Minister of Citizenship and Immigration, Minister Responsible
for the 2015 Pan & ParaPan American Games, Minister of Labour
and Chair of Treasury Board and Management Board of Cabinet.
He has also served as Parliamentary Assistant to the Minister of
Economic Development Trade and the Minister of Government
Consumer Services.
As Minister of Finance, Charles has delivered multiple Budgets
and Fall Economic Statements. He negotiated the formation of the
Canadian Cooperative Securities Regulator and continues to lead
a national discussion on retirement income security.
In 2009, Charles unanimously passed his private member’s resolution
to include financial literacy education in elementary and secondary
school curriculums. He also facilitated passage of the Payday Loans
Act to protect Ontario consumers against predatory lending.
As Minister of Labour, Charles led the largest overhaul of Ontario’s
occupational health and safety system in 30 years. As Minister
of Citizenship & Immigration, he introduced ‎an immigration
strategy to foster more support of settlement and newcomer
representation in Ontario.
Charles possesses an extensive background in the financial sector. He
worked at RBC Financial Group for more than 20 years in commercial
banking. Prior to that, he owned and operated a financing company
supporting small businesses. He also served as a member of the
Canadian Chamber of Commerce and the Toronto Board of Trade,
and as a director of the American Chamber of Commerce.
Charles’ commitment to community service earned him the
Queen’s Golden Jubilee Medal in 2003 and the Queen’s Diamond
Jubilee Medal in 2012. He was also inducted as a Commander to
the Order of Merit in Portugal.
Charles graduated from Wilfrid Laurier University in 1982 with
an Honours Bachelor of Business Administration. In 1991, he
completed a fellowship at the Institute of Canadian Bankers.
He earned an Executive MBA from the Richard Ivey School of
Business at the University of Western Ontario in 1994.
Charles is married with three children.
8 www.pcmacanada.com

The PCMA is grateful for the support of all our members across Canada. Membership in the PCMA provides us the input
and resources to tackle serious policy and regulatory issues in a thoughtful manner and effectively represent our members.
The PCMA also recognizes the valuable contributions of our sponsors and Partners that have played an important role in
establishing and supporting the PCMA across Canada. We extend our sincere appreciation for their leadership and vision. If
you are interested in becoming a PCMA Partner please contact us at info@pcmacanada.com.
If you are not yet a PCMA member, we welcome you to join Canada’s largest private capital markets community at pcmacanada.com.
Thank you to the PCMA Partners!
PCMA Founding Sponsors PCMA Capital Partners PCMA Affiliate Partners
POWERONE
CAPITAL MARKETS LIMITED
Educate | Advocate | Connect | Elevate

CONFERENCE SPEAKERS
Jennie Baek
Associate
WeirFoulds LLP
www.weirfoulds.com
Jennie is an associate in the firm’s Corporate Law Practice Group. Jennie’s practice encompasses a wide variety of
corporate, commercial and securities law matters, including the formation and management of public and private
investment vehicles, registration and compliance matters, regulatory matters, corporate governance and reporting
obligations, public and private financings, stock exchange listings, share and asset transactions, mergers and
acquisitions, and corporate re-organizations and other corporate transactions. Prior to joining WeirFoulds, Jennie
worked as in-house counsel at a leading investment fund company and practiced law at the Toronto office of an
international law firm. Jennie was one of three medalists upon graduation from Queen’s University Law School
and received multiple scholarships, prizes and awards during her time there. She also obtained a certificate in
international law from the Queen’s University International Study Centre in England and received a fellowship to
study at the University of Toronto Law School where she received her Master of Laws degree.
Doug Bedard
Chair, Private Capital Markets Association of Canada
Senior Vice-President & Director, MNP Corporate Finance Inc.
www.pcmacanada.com | www.mnpcorporatefinance.ca
Doug Bedard, MBA, is a Senior Vice President and Director at MNP Corporate Finance Inc. Doug is the Chief
Compliance Officer and serves on executive committees for Corporate Finance and Quality Management. Doug
has more than 20 years experience in the financial sector and has worked with clients in numerous industries.
Before joining MNP in 2007, Doug held several senior management positions with large Canadian banks,
including CIBC and Royal Bank. Doug draws on his expertise to assist clients with debt structuring, raising
private equity and arranging financing from private and institutional sources, as well as from multiple government
and international sources. He is particularly skilled at managing complex engagements that require significant
due diligence and involve stakeholders in both the public and private sectors. Recognized as a national industry
expert, Doug serves as Director and Chair of the Private Capital Markets Association of Canada. Doug earned his
undergraduate degree at the University of Alberta and holds an MBA from Athabasca University.
Paul C. Bourque Q.C.
Executive Director, British Columbia Securities Commission
www.bcsc.bc.ca
Paul Bourque has been Executive Director of the BC Securities Commission since 2010. Previously, Paul
was an associate partner with Deloitte & Touche, leading the consulting firm’s securities and regulatory
investigations practice. He also held senior positions with the IDA (predecessor to the Investment Industry
Regulatory Organization of Canada), the Province of Alberta as deputy minister of justice, the Ontario Securities
Commission, and the BCSC as Enforcement Director. Prior to his experience as a securities regulator, Paul
spent many years as a commercial crime prosecutor.
Andrew Campbell
Director Relationship Management and Sales, Fundserv
www.fundserv.com
Mr. Campbell has spent his last 12 years in the Financial Services Industry promoting operational best practices
and advising on how to navigate the technology landscape. Now in his role as the Senior Relationship Manager at
Fundserv, Andrew continues his efforts to help move the industry forward by playing an active role in Fundserv’s
mandate of promoting the ease of doing business and bringing helpful industry solutions focussed on reducing
time,risk and cost for the industry. He is an active member of CFIQ Operations Committee. Andrew has his
BBA in International Business and Management Science from Bishop’s University.
10 www.pcmacanada.com

CONFERENCE SPEAKERS
Pat Chaukos, CPA, CA, JD
Ontario Securities Commission
Manager, Compliance & Registrant Regulation
www.osc.gov.on.ca
Pat Chaukos is a Manager in the Compliance and Registrant Regulation (CRR) branch at the Ontario Securities
Commission. She leads a multi-functional team of professionals responsible for the registration and conduct of firms
and individuals, policy initiatives and compliance reviews of dealer firms such as exempt market dealers. The CRR
branch is responsible for registering and overseeing approximately 1300 firms and 67,000 individuals that trade or
advise in securities. Since joining the OSC, Pat has led numerous policy initiatives relating to registrant regulation in
the exempt market and led several policy committees involving the Canadian Securities Administrators. Prior to joining
the OSC, Pat was responsible for risk management and compliance of the mutual fund dealer and investment fund
manager at RBC. Pat is a Chartered Professional Accountant and a member of the Bar in Ontario.
Laurie M. Clark
President and CEO
Smarten Up Institute
www.smartenupinstitute.com
Laurie Clark’s reputation extends beyond the respected business leader to a business visionary. Rising from
Canadian Aide, Foreign Affairs (Republic of Korea) to a securities and finance professional with extensive knowledge
of Trading, Mutual Fund, Wealth Management, Banking and Credit Union business; as well as technology
systems. Her skills have been honed performing at a senior level at stock exchanges, regulatory organizations
and technology companies, holding positions internationally in South Korea, France, United Kingdom, New York,
and San Francisco. While her strengths are measured in the development and execution of winning corporate
strategies, business development and successful international system conversions, she has turned her focus in
recent years to raising proficiency standards for capital markets in Canada. Laurie Clark founded SUI in the wake
of the 2008 financial crisis with the intention of better educational resources to dealers in general and to smaller
firms in particular that were having difficulty accessing expertise. A recent example of Laurie’s commitment to the
industry is the creation of SUI’s and IIAC’s “Top Under 40 Award”, now amalgamated with the IIAC Hall of Fame
award, a true achievement in bridging those who contributed much to the investment industry with those now
coming up the ranks and forging the future of the investment industry.
Peter Conroy
President
TMX Shorcan Brokers Limited and Co-Managing Director of TSX Private Markets
www.tsxprivatemarkets.com
Peter has worked in the financial services industry since the mid 1990s, starting at Dow Jones Telerate and Bridge
Information Services (later Reuters). He was one of the founders of Canada’s first registered ATS (Alternative Trading
System), CollectiveBid Systems Inc./CBID Markets Inc. and worked as it’s Vice President of Sales, Marketing &
Customer Relations. Peter has also worked as Senior Account Manager at TSX Markets and served as Director of
Business Development, Futures Market at the Montreal Exchange. Peter is currently President of the TMX Group
Limited’s fixed income inter-dealer broker, Shorcan Brokers Limited. He is also President of Calgary based Shorcan
Energy Brokers Inc., and Co-Managing Director of TSX Private Markets. Peter serves on the board of directors of
CanPX, a transparency system that is a joint venture of Investment Industry Association of Canada (IIAC), Investment
Industry Regulatory Organization of Canada (IIROC) member firms represented on the IIAC Debt Markets Committee
(Primary Dealers Section) along with certain inter-dealer brokers operating in domestic debt markets. Peter also
sits on IIROC’s Fixed Income Committee which has a mandate to advise on the development of rules and policies
related to the trading of fixed income securities. In addition, Peter sits on the CDOR & CORRA Oversight Committee.
Peter is also past-chair and currently serves on the Board of Directors of The SandBox Project, a national charity
whose vision is to make Canada the healthiest place on earth for children and youth to grow up.
www.pcmacanada.com
11

PCMA MEMBERSHIP BENEFITS
PCMA MEMBERSHIP BENEFITS
Regulatory & Compliance
Guidance
Access to leading regulatory and
compliance insights that help you
meet your obligations and stay
focused on your business rather
than the regulators.
Effective Advocacy
We need a strong private capital
market across Canada. The PCMA
works with regulators and
governments to foster a better
understanding of private capital
markets and to drive positive
changes for the industry.
PCMA Chapters &
Committees
Exclusive Insurance
Passionate teams of industry
leaders across Canada, all
committed to elevating the
private markets and role of
EMDs and issuers of
prospectus exempt securities.
PCMA FIB Bonding insurance
for EMDs, and E&O Professional
Liability insurance for dealing
representatives - take advantage
of very competitive group pricing
for PCMA members.
Listing in the PCMA
Member Directory
Private Capital Markets Blog
Your companyʼs profile listed in
searchable online PCMA Member
Directory. Access professional
advice you need, when you need it -
exposure to industry leading experts
and advisors to EMDs and Issuers.
Learn from others, share your
advice or best practices and
success stories of the private
capital markets on the Private
Capital Markets Blog. Only PCMA
members can write posts.
Private Capital Markets
Magazine
PCMA Private Capital
Markets Awards
Free subscription and special rates
for advertising for the PCMA national
industry magazine - Private Capital
Markets. We provide analysis on
regulatory changes, compliance
challenges and best practices, and
leading insights into deal structures,
financial reporting, legal, accounting
and other issues.
The PCMA Awards are the only
national industry awards for private
capital markets professionals that
recognize business leaders who
help build a vibrant and successful
private capital markets in Canada.
Only PCMA members can
nominate their transactions/deals.
12 www.pcmacanada.com

PCMA MEMBERSHIP BENEFITS
PCMA MEMBERSHIP BENEFITS
PCMA Annual Conference
PCMA Education Series
PCMA Annual Private Capital
Markets Conference brings
together pragmatic and insightful
presentations from top industry
leaders. Each year a capacity
crowd of professionals gathers to
learn about new developments in
the private capital markets.
PCMA Education Series events
build the educational
infrastructure to help EMDs,
dealing representatives and
issuers succeed in their business
in a rapidly changing regulatory
environment.
PCMA Partnership
Opportunities
The PCMA has built an effective national industry voice for the private capital
markets. Become a PCMA Partner and reach key decision-makers in the private
capital markets industry. We believe helping you succeed in your business is key
to the success of both the PCMA and our private markets. We have a number of
partnership opportunities available, which enables you to showcase your
business, products and your views.
Tuition Discounts
Reduced admission prices for PCMA Members for IFSE Institute exams including
the Exempt Market Professionals exam - the only prescribed proficiency course
focused on the exempt market in Canada. It is designed for individuals seeking
registration as Dealing Representatives and Chief Compliance Officers of Exempt
Market Dealers.
Event Discounts
Preferred Rates
Discounted entry fees for other
industry events and exclusive
access to educational programs
and networking opportunities
focused on the professional
development of EMDs, their
dealing representatives and
issuers engaged in raising capital.
Exclusive discounts from North
Americaʼs most luxurious hotels
to preferred rates on flights with
major Canadian airlines.
Membership benefits at the
Cambridge Group of Clubs
www.pcmacanada.com
13

CONFERENCE SPEAKERS
Devon Cranson
CEO
Cranson Capital
www.cransoncapital.co
Devon Cranson is the founder and president of Cranson Capital, a boutique investment banking firm established in
2006. Devon has extensive expertise and experience in all aspects of commercial financing, M&A and capital raising.
Cranson Capital is an Exempt Market Dealer raising capital from accredited investors for private placements in real
estate, growth companies and financial services. Cranson Capital is a 4-time winner of the Private Capital Markets
Association’s Deal of the Year Award and ranked 49th on the Profit 500 fastest growing companies in Canada in
2014. Devon acts as the General Partner for two downtown Toronto condo developments, a board observer to a
high growth technology company in Toronto and a board of director to a leading seniors care limited partnership.
The company has raised capital for Senior’s Housing, Medical Office Buildings and Growth Technology companies.
Devon is a Certified Management Accountant and a Chartered Public Accountant.
Peter Dunne
Partner, Cassels Brock & Blackwell LLP
Director, Private Capital Markets Association of Canada
www.casselsbrock.com | pcmacanada.com
Peter Dunne is a Partner at Cassels Brock & Blackwell LLP and Director of the Private Capital Markets
Association of Canada. Peter Dunne started his law firm’s securities registration and compliance practice in
the 1990s, focusing on registration matters for all categories of dealers and advisers. He is active in the firm’s
investment fund practice where he is involved with mutual funds, venture capital funds, limited partnerships
and other investment vehicles, public and private. Peter also provides a broad range of capital markets services
in connection with public and private financings, stock exchange listings, and mergers and acquisitions. Peter
presently acts for a number of registered dealers and advisors, investment fund companies, venture capital
groups and public companies. Peter organized and chaired the Financial Intermediary Regulatory Summit
(April 2001) at which he and top regulators from Ontario addressed the sweeping changes taking place in the
regulation of Ontario’s capital markets. He also organized and chaired a series of presentations in 2009 on
National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, the
culmination of a national effort to harmonize and update the registration rules in Canada. In 2001, Peter was
instrumental in establishing a regulatory consulting company to augment the firm’s registration and compliance
practice. The end of the affiliation in 2009 resulted in new relationships with two emerging independent consulting
companies. Through these and other external service providers, Peter continues to maintain a comprehensive
and innovative approach to the securities regulatory services he provides.
John A. Fabello
Partner, Torys LLP
www.torys.com
John Fabello is a senior member of the securities litigation and class action practices at Torys LLP, and is a lead for
the firm’s securities defence practice. John focuses on all aspects of securities litigation and regulatory matters,
as well as general corporate and commercial litigation. John represents clients across Canada before securities
and other financial regulators, and the courts. John’s practice includes conducting internal investigations and
advising financial services firms regarding the quality and sufficiency of their regulatory compliance programs.
John has acted as an instructor for in-house broker and investment banker continuing education programs and
was seconded for over a year to one of Canada’s largest broker-dealers to manage major class action litigation
and related securities regulatory matters. John is a frequent speaker and lecturer on securities litigation, and has
been recognized as a leading lawyer in Canada in the areas of professional liability and securities litigation by
Best Lawyers, Lexpert and LawDay. Lexpert/American Lawyer’s Guide to the Leading 500 Lawyers in Canada
– Leading lawyer in litigation, securities (2014-2016). Lexpert’s Guide to the Leading US/Canada Cross-border
Litigation Lawyers in Canada-Leading lawyer in securities litigation (2013). He is also the Co-chair of the Securities
Litigation Section of The Advocates’ Society and a Trustee of the Toronto Lawyers’ Association.
14 www.pcmacanada.com

CONFERENCE SPEAKERS
David M. Gilkes
President, North Star Compliance & Regulatory Solutions Inc.
Vice Chair, Private Capital Markets Association of Canada
www.northstarcompliance.com | pcmacanada.com
David is the President of North Star Compliance & Regulatory Solutions Inc. David has over 25 years of
experience in regulating and investigating regulated firms and markets including seven years as Manager,
Registrant Regulation, with the Ontario Securities Commission where he oversaw the registration and conduct
of more than 60,000 individuals and firms in Canada’s largest capital market. He started his career in 1983
with the Government of Canada’s Competition Bureau conducting, and then leading, investigations under the
Competition Act and rose to the position of Acting Director, Compliance Branch. In 1998, he joined Deloitte &
Touche’s Investigative and Forensic Services group as Senior Manager, building their litigation support services
practice. David was most recently Vice President at SBG Regulatory Consulting Group Inc. where he provided
regulatory and strategic consulting to firms in the securities and investment management industry. David earned
his B.A., honours, in Economics from McMaster University and his M.A. in Economics from Carleton University.
Emmanuel Gonnet
Vice President, Product Management
UNIVERIS
www.univeris.com
As the Vice President of Product Management, Emmanuel is responsible for defining and executing the product
and platform roadmap of UNIVERIS. Together with the product management team, Emmanuel maintains a
close relationship with the market to identify the product strategy. Emmanuel is also heading the product
development, support, CSR (Corporate Social Responsibility) and Marketing. Emmanuel graduated from the
University of Coventry-UK with an MSC in Computer Aided Engineering and an MSC in Software Engineering
from the University of St Etienne-France. He is a part time professor at a UK University, teaching IT Strategy
and Solution Design.
Michael Gregory, CFA
Deputy Chief Economist & Head of U.S. Economics | Managing Director
BMO Capital Markets
www.bmocm.com
As Deputy Chief Economist and Head of U.S. Economics for BMO Capital Markets, Michael Gregory provides
research support for the U.S. and Canadian fixed income business and works with the Global Fixed Income
Strategy team. Within Economic Research, he manages the team responsible for forecasting and analyzing global
interest and exchange rates, along with the North American economies. He began his career in economics with
Royal Bank of Canada in Montreal in the mid-1980s, before moving to Toronto to work in RBC’s foreign exchange
and money market research group. Michael eventually moved further along the yield curve and across the border,
joining the fixed income strategy group at Lehman Brothers in New York City in the mid-1990s. Returning to
Canada at the end of 2001, Michael headed up the Financial Services Analysis team at Bank of Montreal, focusing
on regulatory and industry restructuring issues, before shifting to BMO Capital Markets in 2004. Michael is a
graduate of Concordia University in Montreal and the University of Western Ontario in London. Michael also did
doctoral studies at Fordham University in New York City. He holds a Chartered Financial Analyst designation.
Derek Jenkin
Executive Vice President, Romspen Investment Corp.
www.romspen.com
Derek is responsible for executing Romspen’s Canadian and US business plan. Derek has an extensive
background in law, banking and finance in the U.S. and Canada and holds Masters Degrees in Business
Administration, Finance and Securities Law. Over the past twenty years, Derek has held a variety of senior
management positions inside leading financial institutions and has consulted for senior members of the US
Intelligence Community. Recent accomplishments include leading several large-scale change management
initiatives, including the establishment of a cleared swap trading desk and the creation of an unprecedented
derivatives clearinghouse.
www.pcmacanada.com
15

CONFERENCE SPEAKERS
Brian Koscak
President and General Counsel, Pinnacle Wealth Brokers
Vice Chair (Past Chair), Private Capital Markets Association of Canada
www.briankoscak.ca | www.pinnaclewealth.ca | pcmacanada.com
Brian Koscak is the President and General Counsel of Pinnacle Wealth Brokers Inc. Brian is also a Director
and member of Pinnacles’ Executive Compliance Committee. Brian is licensed to practice law in the Provinces
of Alberta and Ontario. Brian is a member of the Ontario Securities Commission’s Exempt Market Advisory
Committee and the Alberta Securities Commission’s Exempt Market Dealer Advisory Committee. Brian is also
the Vice Chair (and past Chair) of the Private Capital Markets Association of Canada. Brian was previously
employed as a Judicial Administrator with the Manitoba Department of Justice and as an executive with an
insurance brokerage firm located in Toronto, Ontario. Brian has obtained his Masters of Law in Securities
from Osgoode Hall Law School, a LL.B. from the University of Windsor School of Law, a Juris Doctor from the
University of Detroit Mercy School of Law and a Masters of Arts for Judicial Administration and a Bachelor
of Arts (Honors) in Public Administration from Brock University. Brian also obtained his Chartered Insurance
Professional designation from the Insurance Institute of Canada and was formerly licensed as a life and accident
& sickness insurance agent and a registered insurance broker of Ontario. Brian has spoken as spoken at many
conferences, written many comment letters on behalf of the PCMA and published numerous articles involving
corporate and securities law matters.
Jeanne Labbe
Head of Employee Experience & Chief Communications Officer, TIMC
www.timc.ca
Jeanne joined TIMC in 2007. She oversees the company’s human resource life-cycle, and ensures that all
employees of the firm have a successful experience throughout their journey with TIMC; a Montreal-based firm
specializing in helping International High Net Worth individuals geographically diversify their family’s assets and
citizenships across the globe, by offering them second citizenship and Canadian financial exempt solutions.
David C. Linder, QC
Executive Director, Alberta Securities Commission
www.asc.ca
David has been the Executive Director of the Alberta Securities Commission since December 1, 1997.
He joined the Commission in August, 1996 as Senior Enforcement Counsel. As Executive Director, David
is Chief of Staff and Chief Administrative officer of the Commission, overseeing virtually all Commission
operations. During his tenure, ASC staff have grown from 72 employees, most of which were located in
Edmonton, to the present complement of 196 authorized positions, all of which reside in Calgary. Commission
budgets have grown from $6.1 MM to $40.2 MM for the fiscal 2016 year. David has played a very active
role in the Canadian Securities Administrators’ Executive Directors’ Committee, including being the Chair
of that Committee from September 2003 to December 2006, and was again appointed to that position in
September 2014 for a two year term. He also had a prominent role in the negotiation and completion of the
operating agreements related to the National Registration Database (NRD), System for Electronic Disclosure
by Insiders (SEDI) and the System for Electronic Document Analysis and Retrieval (SEDAR), and is presently
very involved in the CSA Information Systems Renewal Program. Prior to joining the Commission, David was
a partner with the law firm of Parlee McLaws in Calgary, conducting a practice in corporate and securities law
and litigation. During his practice, he was retained on a variety of corporate reorganizations and financings
representing private and public issuers. He has appeared as counsel at all levels of trial courts in Alberta,
the Alberta Court of Appeal, the Federal Court of Appeal and numerous Administrative tribunals. David has
been actively involved in the interaction between the legal and university communities, teaching Business
Law at the University of Calgary, serving on the Law Faculty Council, being a representative of the profession
on the Faculty of Law Dean Selection Committee and chairing the fund-raising committee of the Faculty of
Law Alumni in its initial campaign. For his efforts, he was awarded a President’s Citation in 1994 and was the
inaugural recipient of the Honourable W.K. Moore Award in 2000 for outstanding contributions to the Faculty
of Law. In 2010, David was awarded his Queen’s Counsel designation.
www.pcmacanada.com
17

CONFERENCE SPEAKERS
Huston Loke
Director, Corporate Finance Branch, Ontario Securities Commission
www.osc.gov.on.ca
Huston Loke is the Director of the Corporate Finance Branch of the Ontario Securities Commission. The
Branch is responsible for regulating corporate issuers and for leading issuer-related policy initiatives.
The Branch monitors compliance through ongoing reviews, and establishes the regulatory framework for
securities offerings in the public and exempt markets. Policy development and supervision activities for
insider reporting and credit rating agencies are also covered by the Branch. He also serves as a member
of one of the Workstreams of the Financial Stability Board, the international body that monitors and makes
recommendations about the global financial system. Prior to joining the OSC, Huston was an Advisor to the
Chief Risk Officer of a major financial institution. Before taking on that role, Huston was President of a credit
rating agency. He holds a Bachelor of Arts and Science and a Master of Business Administration (Accounting
and Finance), and is a Chartered Financial Analyst.
Frank Lonardelli
President and CEO, Arlington Street Investment
www.arlingtonstreet.ca
Founded and led by entrepreneur, Frank Lonardelli, Arlington Street Investments (ASI) is a Calgary based
investment firm that is focused on value creation through the entire development process. ASI owns
some of the most high profile development sites on and around Calgary’s High Street. ASI’s focus is the
development of Urban mixed use Live Work and Play high rise projects. Frank is a “serial entrepreneur”
who built and sold two of his former companies to public entities. He has been investing in Real Estate
since dropping out of law school at 25 years old. Since re-launching ASI in 2012 as Frank’s full-time
enterprise; coupled with his 20 year successful track record of real estate investing, ASI has amassed over
$1 billion dollars in commercial real estate development. Committed to innovation and strategic thinking on
the development side combined with transparency and accountability on the investment side, ASI is a multiple
award winning Development and Investment Company and is a winner of the 2013 & 2015 PCMA Commercial
Real Estate Deal of the Year Award. Frank has also been recognized as one of Alberta’s 2016 Business
Leaders of the Year. ASI creates projects which generate significantly higher returns than traditional Real Estate
investment options. And exclusively raises private equity from their growing list of accredited investors, family
offices and institutional investment houses. Frank’s greatest achievement is the launch of the Arlington Street
Foundation Scholarship Program, which program he intends to expand nationally within the next 5 years.
Frank is a graduate of the University of Winnipeg with a major in Political Science and completed the Executive
Master’s Program through the Sloan School of Management located on the campus of MIT.
Melissa MacKewn
Partner, Crawley MacKewn Brush LLP
Director, Private Capital Markets Association of Canada
www.crawleymackewnbrush.com | pcmacanada.com
Melissa is experienced litigation counsel with a widely recognized expertise in civil and regulatory securities cases
and complex commercial litigation matters. Melissa is ranked in both Best Lawyers in Canada and Lexpert in the
areas of securities and corporate commercial litigation and is profiled in the Lexpert US/Canada Cross-Border
Guide to Litigation. Melissa worked as a Senior Prosecutor in the Enforcement Branch of the Ontario Securities
Commission (OSC) from 2004-2008. She was seconded from that position for a one year term to serve as Acting
Chief Enforcement Counsel and Manager of Investigations at the Investment Industry Regulatory Organization
of Canada (IIROC). From her time as a regulator, Melissa gained an in-depth understanding of the substantive
legal and policy issues at play in securities litigation matters. Melissa acts on a wide range of securities regulatory
matters before the OSC, IIROC and the Mutual Fund Dealers Association of Canada, both on the prosecution
and defense side. Melissa routinely represents clients in compliance and registrant regulation matters and
enforcement investigations, settlements and contested proceedings involving such issues as insider trading,
disclosure violations and market manipulation. Melissa has maintained an active complex commercial litigation
practice since her Call to the Bar in 1997 and has appeared before all levels of Court in Ontario.
18 www.pcmacanada.com

CONFERENCE SPEAKERS
Jason MacLellan
Senior Sales Executive, Firmex
www.firmex.com
Jason MacLellan has been a leader on the Firmex sales team for just over six years. Jason works with
thousands of customers and prospects, in the private capital and investment banking and corporate space,
to support their virtual data room needs. As a veteran member of Firmex’s team, Jason has set up north
of 1,100 data rooms globally for acquisitions, divestitures, equity and debt capital raises, restructurings,
litigation, and procurement deals.
Kim Maggiacomo
Manager of Curriculum Development, IFSE Institute
www.ifse.ca
Kim Maggiacomo is the Manager of Curriculum Development at the IFSE Institute where she is responsible for
leading the development of all curriculum for the proficiency and continuing education courses offered by IFSE
for registration and licensing. Formerly, Kim was the President of Compliance Alliance Inc., a firm she founded
which provided consulting services and project management leadership for initiatives concerning compliance
and risk management, and expert witness and litigation support. Prior to that, Kim was an investigator in the
Enforcement Department of the Mutual Fund Dealers Association of Canada and formerly held senior posts at
a number of firms in the financial services industry including CIBC Wood Gundy, Midland Walwyn Inc., Dynamic
Fund Management Inc., and Mackenzie Financial Corporation. Kim has continuously served industry on a
number of committees and trade associations including those for the TMX, IFIC, OSC, CCMA and in her former
role as the Chair of the Association of Canadian Compliance Professionals.
Jo-Anne Matear
Manager, Corporate Finance Branch, Ontario Securities Commission
www.osc.gov.on.ca
Jo-Anne Matear joined the Ontario Securities Commission in August 2003 and has been a member of the
Senior Management Team since 2006. She leads a multi-disciplinary team in the formulation, administration and
interpretation of Ontario securities law as it pertains to both public companies and companies that conduct offerings
in the exempt market. In this capacity, she has led the development and implementation of policy initiatives on
many securities law topics and, most recently, was the project lead on the OSC’s review of capital-raising in the
exempt market. In addition, Jo-Anne is the Chair of the OSC’s Exempt Market Advisory Committee as well as the
OSC’s Small and Medium Enterprises Committee. Prior to joining the Commission, Jo-Anne practised corporate and
securities law at Blake, Cassels & Graydon LLP in Toronto, Ontario and at Clifford Chance LLP in London, England.
Andrew McCreath
Host, BNN
www.bnn.ca
Andrew McCreath has over 25 years in the investment business with seven as a sell-side analyst and 14 as a
portfolio manager. This means he can provide valuable insight and perspective into the business world to BNN
viewers, as he does on WEEKLY WITH ANDREW MCCREATH. McCreath helped start, build and sell two investment
management businesses. First, in December of 1997 he was a founding shareholder of Synergy Mutual Funds and
in 2004 he was the founding shareholder of Waterfall Investments, selling it to Sentry Investment in 2008. At Sentry,
McCreath managed the Diversified Total Return mutual fund, winner of 2010 Lipper Award (Canadian focused equity
category), and the Sentry Market Neutral Hedge Fund, winner of the 2010 Morningstar Canadian Investment Award
for Best Relative Value Hedge Fund. During the Fall of 2012, McCreath launched another asset management (or
investment management) company, Forge First Asset Management McCreath has a BBA in Finance, an MBA in
Economics from York University and he holds the Chartered Financial Analyst designation.
www.pcmacanada.com
19

CONFERENCE SPEAKERS
Nadine Milne
Chief Compliance Officer, Portland Investment Counsel Inc.
www.portlandinvestmentcounsel.com
Nadine is the Chief Compliance Officer for Portland Investment Counsel Inc., responsible for Investment Fund
Manager, Portfolio Manager and Exempt Market Dealer activities. Nadine has been employed in the securities
industry since 1998 and has been involved with compliance since 2007. Nadine has been with Portland
Investment Counsel Inc. since September 2009 and joined an affiliate, AIC Limited in July 1999. Nadine held
a number of senior accounting and compliance roles including Manager, Investment Manager Compliance for
AIC Limited and Manager, Compliance and Acting Chief Compliance Officer for Portland Investment Counsel Inc.
Nadine graduated from York University and in 2001 gained a CPA CMA designation.
Ken Parker
Chief Compliance Officer, Chief Financial Officer, Portfolio Strategies Corporation
www.portfoliostrategies.ca
Kenneth Parker has been the Chief Compliance Officer and Chief Financial Officer of Portfolio Strategies
Corporation – registered as an exempt market dealer and mutual fund dealer in six provinces – since 2008.
Ken is a member of the Policy Advisor Committee of the Mutual Fund Dealers Association of Canada and on
the board of the Association of Canadian Compliance Professionals. Before joining a previous dealer in 2006,
Ken was at the Alberta Securities Commission from 1988 to 2005 where he was the Director, Capital Markets
and Director, Corporate Finance from 1993 to 2005 and represented the ASC on numerous Canadian Securities
Administrators committees, including: Registrant Regulation (chair), Continuous Disclosure (founder and chair),
Information Technology (chair), Registration Reform, Distribution Structures, SRO Oversight, Corporate Finance,
Internet, SEDAR Working Group, SEDAR Governance, NRD, and SEDI. In 2005 and 2006 he was a consultant to
the Ontario Securities Commission for the Registration Reform Project and co-authored the RRP Concept Paper
which was the foundation for National Instrument 31-103. Ken received his Bachelor of Commerce degree from
the University of Alberta in 1983 and his Chartered Accountant designation in 1987.
Dianna Price
Executive Vice President, Investor Relations, Romspen Investment Corporation
Director, Private Capital Markets Association of Canada
www.romspen.com | pcmacanada.com
Dianna Price has over thirty years of experience in the financial services industry and is the EVP, Investor Relations
at Romspen Investment Corporation, located in Toronto Ontario. Dianna is a member of the PCMA Board of
Directors. Dianna has held senior business development roles involving both institutional and retail distribution
of investment products for small, medium and large investment management firms, as well as a global asset
servicing bank. In her role at Romspen, Dianna leads the sales and relationship management team at one of the
largest non-bank commercial/industrial mortgage lenders in Canada.
Matt Reynolds
Executive Vice President, Lonsdale Wealth Partners
Vice Chair, Private Capital Markets Association of Canada
www.lonsdalewealth.com
Matt has worked with Newport Private Wealth since 2002 in the firm’s investment banking and private equity
group, obtaining the CFA designation in 2004. In 2007 he was recruited by one of the firm’s real estate clients to
develop an institutional structured products group and stayed there until 2011 before returning to develop the
Lonsdale Wealth Partners group. He also consults to commercial real estate and private equity-backed firms
on capital raising initiatives and is a Director for ICM VI Realty Trust. Matt dedicates a significant amount of time
towards mental health initiatives for youth, having co-founded The Addiction Group in 2011.
20 www.pcmacanada.com

CONFERENCE SPEAKERS
Geoffrey Ritchie
General Counsel, Mawer Investment Management Ltd.
Vice Chair, Private Capital Markets Association of Canada
www.mawer.com | pcmacanada.com
Geoffrey Ritchie is a Vice Chair of the Private Capital Markets Association of Canada (PCMA) and previously
served as the Executive Director of the PCMA from 2009 to 2015. Geoff is a securities lawyer called to the bar
in Ontario and in England and Wales with a BA from McMaster University, a JD from Queen’s University and
an LL.M from Osgoode Hall Law School. Geoff was been appointed to the Ontario Securities Commission
“Small and Medium Size Enterprises Committee” in 2016 and was previously appointed to the OSC Registrant
Advisory Committee (2013-2015). Geoff was recognized by Wealth Professional magazine on its ‘2014 Hot
List - Wealth professionals at the top of their game and industry’. Geoff is currently the General Counsel at
Mawer Investment Management Ltd. (Calgary and Toronto). Geoff’s past experience includes: General Counsel,
Corporate Secretary and Vice President of Zenbanx a Financial Technology Services; Chief Compliance
Officer for BMO Harris Private Banking; corporate securities lawyer with WeirFoulds LLP; structured finance/
securitization lawyer with Clifford Chance LLP (London, England); and Legal Counsel with the Ontario Securities
Commission in the Compliance and Registrant Regulation Branch.
Raymond W. Sawicki, MBA, CFA
Senior Vice-President & Chief Investment Officer, Mandeville Private Client Inc.
www.mandevillepc.com
Mr. Sawicki is Senior Vice-President & Chief Investment Officer for Mandeville Private Client Inc. Ray heads
the organization’s discretionary and managed asset platforms and oversees all products and programs for the
group’s wealth distribution businesses. Mr. Sawicki manages Mandeville’s Canadian and U.S. equity strategies
and provides leadership for private & alternative investing and portfolio construction and risk management.
Previously, Mr. Sawicki was Chief Investment Officer for Macquarie Private Wealth and predecessor
Blackmont Capital, and Director & Senior Portfolio Manager for RBC Global Asset Management’s institutional
asset management business in Canada. Mr. Sawicki has over 20 years experience in the investment industry
with prior roles in portfolio management, trading, and private market investing. Mr. Sawicki has held senior
positions in both retail wealth management and institutional asset management, as well as corporate finance
& investment banking. Ray holds an Honours Bachelor of Commerce & Finance degree from the University
of Toronto, an MBA from the Schulich School of Business at York University, and is a Chartered Financial
Analyst and Registered Portfolio Manager.
Peter-Paul Van Hoeken
Founder & CEO, Silver Maple Ventures Inc.
Director, Private Capital Markets Association of Canada
www.silvermapleventures.ca | pcmacanada.com
Peter-Paul is Founder and CEO of Silver Maple Ventures Inc., a financial & social media company based in
Vancouver BC focused on supporting start-ups and young ventures in Canada with access to capital through
innovative online investment-based crowdfunding solutions. Peter-Paul has over 15 years of experience in
finance, investment management and business consultancy. He worked in Vancouver as director business
development with a finance & investment company in the renewable energy space and as finance director of
a real estate investment fund. Prior to that Peter-Paul held a number of positions with several global banks
in the areas of corporate strategy, corporate & investment banking and he worked as a senior management
consultant in The Netherlands. Peter-Paul holds a masters’ degree in Business Economics & Finance from
the Erasmus University Rotterdam, The Netherlands.
www.pcmacanada.com
21

CONFERENCE SPEAKERS
Tommy Wong
Associate, Norton Rose Fulbright LLP
www.nortonrosefulbright.com
Tommy Wong practises corporate and securities law with a focus on corporate finance and mergers and
acquisitions. Mr. Wong enjoys working with clients to achieve their business objectives. His legal expertise,
transaction experience and business acumen enable him to provide pragmatic advice and creative legal
solutions. He has experience in:
• domestic and cross-border offerings of equity and debt securities, including cross-border income trusts;
• domestic and cross-border mergers and acquisitions, including plans of arrangement and take-over bids;
• formation of investment funds; and
• continuous disclosure obligations, corporate governance requirements, stock exchange matters and
general corporate matters.
BECOME A PCMA MEMBER
Since 2002, the Private Capital Markets Association of Canada (PCMA) has brought together exempt market dealers, exempt market
product issuers, and professional advisers to the private capital market. The PCMA is the leading national industry voice for the
private capital markets to securities regulators, government agencies, media, and other sectors of the capital markets.
Our strength is our membership. We are community of small and large firms including individuals from across our industry who come
together to support the PCMA, drive its agenda and ensure the PCMA serves the unique interests of Canada’s private capital markets.
Belonging to the PCMA makes a statement that you are committed to your profession and the highest standards of business conduct.
Please join Canada’s largest private capital markets community at pcmacanada.com.
PCMA members work together to build a stronger infrastructure for the private capital markets industry, which benefits dealers,
issuers, industry participants, and investors, and helps strengthen Canada’s economy. Capital raised in the private capital markets
helps finance and develop some of the most critical and entrepreneurial industries across Canada, and is an important contributor to
creating jobs and wealth for Canadians.
New and renewal annual membership rates are as follows:
• Exempt Market Dealer corporate membership (up to 3 individuals) $750 + tax
• Issuer of Exempt Market Products corporate membership (up to 3 individuals) $750 + tax
• Exempt Market Professionals corporate or personal membership (up to 3 individuals)
(advisers to exempt market dealers e.g. legal, accounting, compliance)
$950 + tax
• Additional Individual Dealing Representative $99 + tax
Stay Current – Stay Connected
1.877.363.3632
info@pcmacanada.com | www.pcmacanada.com
Community
Private Capital Markets Association of Canada
22 www.pcmacanada.com

CONFERENCE SPEAKERS