Profiel
Mr. Dale Sampson is Compliance Officer at Byron Capital Markets.
Prior to that, he worked in the compliance departments of two other investment dealers and also spent time working for the Investment Dealers Association, the predecessor to the Investment Industry Regulatory Organization of Canada.
In addition to this compliance and regulatory experience, he has experience working in the sales, trading, corporate finance and back office departments of both small and large investment dealers.
He combines his regulatory, infrastructure and front office experiences to allow him to understand and balance regulatory requirements and business objectives.
Eerdere bekende functies van Dale Sampson
| Bedrijven | Functie | Einde |
|---|---|---|
| BMO Nesbitt Burns, Inc. (US) | Corporate Officer/Principal | 30-03-2006 |
RBC Dominion Securities, Inc.
 RBC Dominion Securities, Inc. Investment ManagersFinance RBC Dominion Securities, Inc. (RBCDS) is a Canadian broker/dealer headquartered in Toronto, Ontario. The firm was founded in 1901 and is a subsidiary of Royal Bank of Canada (TSE, NYSE: RY). RBCDS provides a full spectrum of brokerage services to retail and corporate clients. | Corporate Officer/Principal | 30-10-2004 |
DWM Securities, Inc.
 DWM Securities, Inc. Investment ManagersFinance Dundee Securities Corp. is a broker/dealer located in Toronto with additional offices in Montreal and Calgary. The firm is a subsidiary of Dundee Wealth Management, Inc. (TSE: DW). Dundee Securities is a full service investment dealer engaged in wealth management and financial advisory services, retail brokerage, institutional sales and trading, equity research and investment banking. The firm operates a sell-side institutional sales and trading floor. Dundee Securities is a member of the Investment Dealers Association of Canada and the CIPF. | Corporate Officer/Principal | 31-12-2001 |
McDermid St. Lawrence Ltd.
 McDermid St. Lawrence Ltd. Investment Banks/BrokersFinance McDermid St. Lawrence Ltd. provides securities brokerage services. The private company is based in Vancouver, Canada. | Corporate Officer/Principal | 31-12-1996 |
| Investment Dealers Association of Canada | Corporate Officer/Principal | - |
Ervaring
Beklede functies
Actief
Inactief
Beursgenoteerde bedrijven
Bedrijven in privébezit
Connecties
Eerstegraads connecties
Bedrijven verbonden in de eerste graad
Man
Vrouw
Besturend
Uitvoerend
Verwante bedrijven
| Bedrijven in privébezit | 6 |
|---|---|
Byron Capital Markets Ltd.
 Byron Capital Markets Ltd. Investment Banks/BrokersFinance Founded in 2009, Byron Capital Markets is a broker/dealer located in Toronto, Ontario. The firm is a subsidiary of Byron Securities Ltd., a Toronto-based investment dealer and member of the Investment Industry Regulator Organization of Canada (IIROC). Byron Capital Markets focuses on providing superior services to small- and mid-cap companies in a variety of market segments. Historically, the firm has focused on the mining, energy, technology, biotechnology and healthcare sectors. They also provide investment banking services in the areas of alternative energy and rare earth and other non-conventional mining and exploration industries. Byron Capital Markets' Sales & Trading division offers trading access to all Canadian equity markets and alternate trading systems. | Finance |
| Investment Dealers Association of Canada | Commercial Services |
| BMO Nesbitt Burns, Inc. (US) | Finance |
RBC Dominion Securities, Inc.
RBC Dominion Securities, Inc. Investment ManagersFinance RBC Dominion Securities, Inc. (RBCDS) is a Canadian broker/dealer headquartered in Toronto, Ontario. The firm was founded in 1901 and is a subsidiary of Royal Bank of Canada (TSE, NYSE: RY). RBCDS provides a full spectrum of brokerage services to retail and corporate clients. | Finance |
DWM Securities, Inc.
DWM Securities, Inc. Investment ManagersFinance Dundee Securities Corp. is a broker/dealer located in Toronto with additional offices in Montreal and Calgary. The firm is a subsidiary of Dundee Wealth Management, Inc. (TSE: DW). Dundee Securities is a full service investment dealer engaged in wealth management and financial advisory services, retail brokerage, institutional sales and trading, equity research and investment banking. The firm operates a sell-side institutional sales and trading floor. Dundee Securities is a member of the Investment Dealers Association of Canada and the CIPF. | Finance |
McDermid St. Lawrence Ltd.
McDermid St. Lawrence Ltd. Investment Banks/BrokersFinance McDermid St. Lawrence Ltd. provides securities brokerage services. The private company is based in Vancouver, Canada. | Finance |
