Richard W. Thomas

Richard W. Thomas
Senior Vice President, Chief Compliance Officer

 

 

 

Contact



Direct Line 604.664.3617
Send Richard W. Thomas an email.

 

History



Richard Thomas’ responsibilities include corporate governance, legal issue management, securities regulatory compliance, and policy formation. He has been Chief Compliance Officer of PI Financial Corp. since 2001 and President of PI Financial (US) Corp. since 2003.

Mr. Thomas is a member of the Investment Industry Regulatory Organization of Canada (IIROC) Pacific District Council, IIROC Compliance and Legal Section, IIROC National Hearing Committee, and the Investment Industry Association of Canada Compliance Committee. Mr. Thomas obtained his Bachelor of Commerce, Finance option, from the University of British Columbia in 1992, his LLB from the University of Alberta in 1995, and is a member of the Law Society of British Columbia.

Mr. Thomas was formerly a member of the British Columbia Securities Commission Securities Law Advisory Committee and a director of the Contemporary Art Gallery of Vancouver.