Richard Korble manages IIROC operations in Western Canada. In that capacity, he directs Compliance (Financial Operations, Business Conduct and Trading Conduct), Registration, Enforcement and Surveillance activities.
Prior to joining IIROC in 2016, Richard was a partner and Chief Compliance Officer for a private equity dealer operating across Western Canada and Ontario. Richard also has spent time with the Alberta Securities Commission, the Investment Industry Association of Canada and the Investment Dealers Association of Canada in regulatory and consultative activities. His career began in retail banking and brokerage for a major Canadian Bank.
He has a Bachelor of Commerce from the University of Calgary and is CFA Charterholder.
IIROC’s Executive Management Team Biographies