Phil du Heaume
PCMA Executive Update – 3:05 pm
Phil du Heaume is a practicing lawyer in the Province of Alberta through his professional corporation and can be contacted via his website, www.duHeaumeLaw.com. He’s been involved in the exempt market space since 2009 with the onset of the NI 31-103 registrant oversight regime and currently sits Committee (EMDAC). In 2015, Phil obtained his certificate from Osgoode Hall Law School in Regulatory Compliance & Legal Risk Management for Financial Institutions. He maintains a legal consulting role with Raintree Financial Solutions Inc. in the position of Independent General Counsel and also provides external, confidential legal advice to dealers, portfolio managers, fund managers and issuers through his professional corporation. Phil is available for training and speaking engagements with compliance and registrant teams to help them better understand dealer compliance and the regulatory environment.