CSE Management Team

Équipe de direction

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Richard Carleton's picture

Richard Carleton

CEO

Richard Carleton is the CEO of CNSX Markets Inc. In this role he is responsible for the strategic direction and management of the Canadian Securities Exchange. Prior to this appointment, Richard served as Vice-President Corporate Development with responsibility for the technology, operations and trading sales teams for the CSE. Prior to joining the exchange, Richard worked as a business development consultant, after spending twelve years with the Toronto Stock Exchange, serving most recently as a member of the exchange’s senior management team. Active in industry affairs, Richard served two terms as chair of the market data industry’s global trade association in the late 1990's, is a frequent panelist at market structure and trading technology events and serves as a member of the TMX Information Processor Governance Committee. A member of the Law Society of Upper Canada since 1987, Richard is a graduate of the University of Ottawa (B.A. ’81) and the University of Toronto (LL.B. ’85). He has also completed the executive development programme at the Wharton School, University of Pennsylvania.

Adam Conyers' picture

Adam Conyers

Financial Director

Adam Conyers is Chief Financial Officer and Senior Vice-President of CNSX Markets Inc. His role includes managing and directing the accounting and financial reporting functions for the company as well as administration and human resources. Additionally, he works closely with the CEO on corporate strategy and business development. Adam’s involvement with the company dates back to 2002 when he was a consultant to the creation of the company. He was also a Director of the company from 2003 through to his resignation in late 2015 to take on his new role. During this period he has served as Board Chair, as a member of the Audit Committee and as Chair of the Human Resources Committee.

Adam was previously CFO at Voyport Group Holdings, LLC a company developing a low cost, high quality international voice roaming system for business travellers and Gedex Inc. a company developing technology for high resolution airborne resource exploration. Prior to that, Adam spent five years with the Toronto Stock Exchange in a variety of roles including CFO, SVP Market Services and President of the Toronto Futures Exchange. Adam started his career with Price Waterhouse where he obtained his Chartered Accountant’s qualification and also spent several years with Price Waterhouse Limited working on insolvency and restructuring files.

At Trinity College, University of Toronto, Adam earned a Bachelor of Commerce degree in 1980. He also attended the Advanced Management Program at the Wharton School of Business in 1999 and holds an ICD.D designation from the Institute of Corporate Directors. Adam is a Director and Treasurer of the Green Durham Association and serves on two Independent Review Committees.

Jamie Anderson's picture

Jamie Anderson

General Counsel & Corporate Secretary

As General Counsel & Corporate Secretary, Mr. Anderson has responsibility for advising on all legal and corporate governance matters and advising on a broad range of strategic and regulatory issues. Mr. Anderson also leads a consultancy practice in the areas of compliance, governance, and business process re-engineering whose clients include major Canadian banks, life insurers, and investment managers. Prior to joining the CSE, Mr. Anderson held executive and senior level roles at several of Canada’s largest and systemically important financial institutions, including The Canadian Depository for Securities Limited where he was most recently Chief Legal Officer. Mr. Anderson has championed many strategically important transactions and initiatives including large M&A deals, complex litigation, and default resolutions. Mr. Anderson received his B. Comm. (Finance), B. Sc. (Economics), and LL.B. from Dalhousie University, MBA (Management) from Saint Mary’s University, and LL.M. (Banking & Financial Services) from York University (Osgoode Hall Law School). He is a member of the Law Society of Upper Canada. Mr. Anderson is a community-elected member of the Board of Management of Swansea Town Hall (an agency of the City of Toronto), a member of the Board of Directors of the Swansea Town Hall Association and Chair of its Governance Committee.

Rob Cook's picture

Robert Cook

Senior Vice President, Market Development

Prior to joining the CSE, Rob Cook held the position of Vice President, Market Surveillance, Market Regulation Services Inc., which was created in 2001 by the Toronto Stock Exchange (TSE) and the Investment Dealers Association of Canada (IDA) to regulate Canadian markets. His mandate was to monitor trading, ensure timely disclosure of publicly traded companies and compliance by investment dealers with the trading rules.

Mr. Cook had a 19-year career at the Toronto Stock Exchange where he held a number of positions in listed company regulation including Director, Original Listings, followed by six years as Director, Market Surveillance. Prior to joining the TSE, Mr. Cook worked in the mining industry for three years as a mineral economist for both Rio Algom Limited and the consulting firm of Derry, Michener and Booth. As a member of the Mining Standards Task Force formed by the OSC and the TSE, which issued its final report in January 1999, he played an instrumental role in developing a new regulatory model for Canadian publicly traded companies engaged in mining exploration, development and production. Mr. Cook holds a Bachelor of Arts in Economics from York University (1977) and a Master of Business Administration from the University of Western Ontario (1979).

Mark Faulkner's picture

Mark Faulkner

Vice President, Listings & Regulation

Mark is responsible for rule development and the ongoing regulation of the CSE. As Vice President, Listings & Regulation of the CSE, Mark is also responsible for the review of Listing Applications and Listed Company compliance with the CSE Policies. Prior to joining the CSE in 2003, Mark had a 14 year career at the Toronto Stock Exchange and Market Regulation Services ("RS") in both trading services and regulatory positions. As Manager of Investigations in Market Surveillance, responsibilities encompassed various regulatory matters, including Internet Surveillance, market investigations and insider trading reviews. Mark played the primary role in the development and implementation of automated market maker performance systems, introduced the use of link analysis in Market Surveillance Investigations, and developed the Closing Report for TSX participants. Mark has studied market surveillance and investigative practices and procedures through the Ontario Securities Commission, the Criminal Intelligence Service of Ontario, and the U.S. Securities and Exchange Commission Training Institute. While at RS, he served as Chairman of the Surveillance Practices subgroup of the Intermarket Surveillance Group ("ISG"), an international group representing more than 30 exchanges around the world.

David Timpany's picture

David Timpany

Vice President, Technology & Operations

David Timpany is the VP, Technology and Operations for the Canadian Securities Exchange (“CSE”). Mr. Timpany is responsible for leading the design, development and implementation of organizational information systems, software applications, IT support and infrastructure systems. Prior to joining the CSE, David was a Project Manager at Basis 100/EFA software where he managed the software development and implementation for many stock exchanges throughout the world. At the Haskayne School of business, University of Calgary, David earned a Bachelor of Commerce degree with a concentration in Management Information Systems (MIS) in 1997.

James Black's picture

James Black

Vice President, Listings Development

James Black is the VP, Listings Development for the Canadian Securities Exchange (“CSE”). Based in Vancouver, BC Mr. Black manages the CSE’s domestic and international programs for attracting exciting new companies to the exchange as well as evangelizing the CSE as “the Exchange for Entrepreneurs”.

Prior to James’ tenure at the CSE, he was a manager at the National Angel Organization where his focus was on helping Angel groups launch, network with one another, and establish best practices for investing. He graduated from Ryerson University in Toronto with Honours majoring in Entrepreneurial studies.

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Portfolio Characteristics (CSE Composite) (as at September 18, 2017)

Number of companies: 149
Market capitalization (C$ mil) 3,910
Company size (C$ mil)  
Average 26.2
Largest 286.9
Median 15.9
% Weight of Top 10 Holdings: 33.11%

Sector Weight (CSE Composite) (as at September 18, 2017)

Sector Weight
Technology 21.09%
Diversified Industries 21.64%
Life Sciences 39.35%
Mining 15.71%
Oil & Gas 1.96%
Cleantech 0.26%

Portfolio Characteristics (CSE25) (as at September 18, 2017)

Number of companies: 25
Market capitalization (C$ mil) 2,005
Company size (C$ mil)  
Average 80.2
Largest 286.9
Median 61.3
% Weight of Top 10 Holdings: 64.57%

Sector Weight (CSE25) (as at September 18, 2017)

Sector Weight
Technology 11.17%
Diversified Industries 23.87%
Life Sciences 56.01%
Mining 8.95%
Oil & Gas n/a
Cleantech n/a

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