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DAVID M. GILKES is the President and founder of North Star Compliance and Regulatory Solutions and provides personal service to all clients. He has over 30 years of experience in research, investigation and regulation of firms in financial industries including seven years at the Ontario Securities Commission.

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 multinational professional services firm and later at a boutique regulatory consulting firm.

David earned his B.A. in Economics from McMaster University and his M.A. in Economics from Carleton University.

David is the Vice Chair of the Private Capital Markets Association of Canada.

 

Publications
"Make the OM Exemption Safer?" — Safer than What?
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