Richard Korble manages New SRO 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, New SRO’s predecessor organization, 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 and IDA 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 Charter holder.