Author: Jonathan Heymann

Jonathan Heymann began his career in the financial services industry working at Spectrum United, a mutual fund company. In 1999, Jonathan joined the Ontario Securities Commission and within two years became a Supervisor in the OSC Contact Centre, where he developed a broad knowledge of the Capital Markets in Canada and particularly the role of compliance.

by Jonathan Heymann

Capital Raising “Capital markets point of view” dealer

For private issuers, raising capital is the next natural step once you have exhausted other traditional forms of financing. It becomes even more enticing when…

by Jonathan Heymann

Hiring in the Securities Industry: What you Need to Know

Hiring a new employee can be challenging in any environment, but it’s even harder in the securities industry.  Employee not only have to be the…

April 9, 2018

by Jonathan Heymann

Proficiency Requirements

Securities legislation is quite clear on what courses and designations you need in order to register in the various categories, but what relevant experience is…

February 28, 2018

by Jonathan Heymann

Product Due Diligence (Company/Issuer)

Dealing Representatives are only allowed to sell products that have been approved by the Chief Compliance Officer (CCO) — and only after they’ve been trained…

January 25, 2018

by Jonathan Heymann

Compliance Review

Compliance Review Compliance reviews by regulators follow a prescribed format depending on what has triggered the visit, whether a full compliance review, targeted review or…

December 14, 2017

by Jonathan Heymann

How to Build an Effective Compliance System

Regulators are paying increasing attention to firms’ compliance structures to ensure there is a system of control and supervision in accordance with securities rules and…

September 12, 2017

by Jonathan Heymann

Three Compliance Commandments to Obey

Advisors have a duty to act fairly, honestly and in good faith with clients. To meet these obligations, they must know their clients, understand the…

May 23, 2017

by Jonathan Heymann

Becoming an EMD

So, you’re thinking of setting up your own Exempt Market Dealer “EMD”. Starting your own firm, along with the additional compliance responsibilities, can be daunting,…

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