David Lu

David has over twenty years of experience and is a Chief Compliance Officer for an IIROC dealer member firm. His compliance experience encompasses wealth management and retail markets, with both large and small investment firms. He is also a Designated Registered Options Principal (DROP). David’s compliance and regulatory expertise in the retail sector allow him to assist clients in developing and enhancing their compliance programs which he really enjoys. 

David holds an MBA degree from Dalhousie University.