Phil du Heaume is a practicing lawyer in the Province of Alberta through his professional corporation and can be reached through his website www.duHeaumeLaw.com. He’s been heavily involved in the exempt market space since the creation of the modern registrant oversight regime in 2009 and currently sits as a member of the Alberta Securities Commission Exempt Market Dealer Advisory Committee (EMDAC). He maintains a legal consulting role with Raintree Financial Solutions – one of Canada’s largest independent EMDs – in the position of Independent General Counsel and provides external, confidential legal advice to dealers, portfolio managers, fund managers and issuers. Phil is available for training and speaking engagements with compliance and registrant teams to help them better understand dealer compliance and the regulatory environment.