Q9. Why is getting in front of government and securities
commission so crucial?
Regulators ultimately decide the landscape in which our members operate so the importance of having facetime with them is
obvious. Unfortunately, the nature of their jobs ensures that they
hear more bad stories than good so it’s imperative that we’re in
touch with them on a regular basis so they get a more fulsome
picture of our industry.
As for the government, the fact of the matter is that we don’t
always see eye to eye with the various securities regulators
across the country so having access to who is ultimately their
bosses is prudent.
Having said that, it’s a balance. We’ve built long standing direct
relationships with certain regulators so to circumvent them by
running to the government all the time would be shortsighted.
We need relationships with both and ultimately having one with
the regulators is probably the most important as governments
change more frequently than regulators do.
Q10. As well as building relationships with regulators and
growing awareness of the private markets there has been a
real push from the PCMA to engage its members, with you,
leading the way. Why has this been so important?
That’s who we ultimately are working for – the members. It’s
what they want that matters, not just what those of us on the
executive or board think is best.
We rarely have consensus amongst the entire membership
group so we need to get as large of a sample when possible
when forming the collective PCMA opinion on something. We
can only get that through engagement.
We can’t expect members to contribute to the PCMA coffers
because we ask nicely. We have to find out what matters to them
and deliver results wherever possible.
Q11. In what is an increasingly competitive industry what
piece of advice would you give to exempt market dealers
firms and industry professionals?
Embrace technology. Plain and simple. And I’m not talking
about Linked In or Twitter. Clients and advisors aren’t going to
accept archaic software or paper-based systems for much
longer, no matter where in the capital markets you work. They
expect the same level of panache and tools from exempt market
professionals as they’d get from a Big 5 Bank so ensure whomever you align yourself with can provide you with the tools you
need or go find them yourself.
Canada's Top 40 Under 40® 2019
TORONTO, June 26, 2019 /CNW/ - Canada's Top 40 Under
40® announced the 2019 recipients today in National Post and
on BNN Bloomberg with Founding Partner Caldwell (TSX:
CWL), and Presenting Partner MNP. Additional partners
supporting the program are National Partner Gluskin Sheff +
Associates Inc., Travel Partner WestJet, Research PartnerCaliper;
Gala Partner ergoCentric Seating Systems; with fact checking
and verification done by Inline Reference Check.
Canada's Top 40 Under 40 independent Advisory Board, which
comprises 25 respected and experienced individuals from
across Canada, met on May 15, 2019 to select the Honourees
from a short list put together by Caldwell. A Call for Nominations was carried out from October 2018 to January 2019, which
garnered 950 nominations from across Canada.
"On behalf of our Advisory Board and Sponsors, I offer my
heartfelt congratulations to the 2019 honourees," said Elan
Pratzer, Managing Partner, Caldwell. "The achievements of
these individuals are vital to our continuing vision of Canadaas a
vibrant country replete with ambition, innovation and realized
potential. Canada is a place where hard work and determination
are appreciated, rewarded and now celebrated. I also thank our
program partners for their commitment and dedication to this
The Honourees will be highlighted today in National Post and
profiled in a feature article in the October edition of FP Magazine,
and will also be featured on BNN Bloomberg in an interview
series, Canada's Next Leaders, throughout the summer.
All 40 recipients will gather in Toronto in November for a series
of events. They will receive their awards at the Top 40 Awards
Night Gala at the Metro Toronto Convention Centre on the
night of November 6, 2019. For information on tickets, visit:
"MNP has always been a champion of the entrepreneurial and
innovative spirit upon which our country is built, so we're
delighted to be part of this unique and influential program that
celebrates the very best of Canada's present and future
leaders," said Jason Tuffs, Chairman and Chief Executive Officer
of MNP LLP.
"This year's Top 40 honourees reflect the diversity of talent,
entrepreneurship and innovation that we see in our clients and
communities right across the country. MNP congratulates every
one of them and is excited about the role they are playing – and
have yet to play - in helping to shape Canada's future on both
the national and international stage.";;;;;;;;
Canada's Top 40 Under 40® is an annual recognition of the
exceptional achievements of 40 outstanding Canadians
under the age of 40. Founded in 1995 by Caldwell, Top 40
has recognized more than 720 outstanding Canadians and is
the country's most coveted award for young business and
community leaders. Honourees have a remarkable track
record of achievement after their win; the ranks of Top 40
alumni include hundreds of nationally and internationally
prominent CEOs, CFOs, executives, and entrepreneurs.