Pamela L. Moore

*** ******** ****

Pickering, Ontario

L1V 4V9

905-***-****

Cell 905-***-****

Highlights of Work Experience

PLM Consulting 2009 to 2011

Proprietor 2012 to Present

Selected Assignments and Accomplishments

Assistance and development of the Harmony Portfolio Management System including:

oAssisting in the design of a comprehensive trading blotter;

oAssistance with the accounting in the “back office” of the system encompassing areas such as corporate actions, tax reporting requirements and design of various reports: and

o Assistance with the performance calculations and reporting requirements under GIP rules.

Development of Compliance and Procedures Manuals for application by a Portfolio Manager, an Investment Fund Manager and an Investment Dealer, employing regulatory rules such as NI 31-102.

Consulting contracts, including a two year contract with Barrantagh Investment Management, to project manage the implementation of investment management systems involving:

oDesigning numerous reports and conversion tests;

oRecalculating performance history under the new GIP rules;

oAssisting with setting up modeling programs for securities trading of bonds and stocks;

oResponsible for identifying and rectifying previous errors in the implementation process;

oSetting up a system of integrity checks for daily, monthly and quarterly accuracy verifications and procedures; and

oSetting up job descriptions, forms and procedures to support the new system and compliance goals.

Income tax and business services including:

oFull cycle accounting services including day-to-day accounting, preparation of year ends and financial statements, and preparation of corporate, small business and personal income tax returns.

oTax planning for personal clients and small business clients;

Global Financial Associates Inc. 2011 to 2012

Chief Financial Officer

Responsibilities

Overall corporate CFO responsible for several companies including an MFDA company, an IIROC firm, an MGA insurance company, an Investment Fund Manager, two mutual funds, an RESP dealer and other related businesses.

Directly supervised a staff of 12.

Responsible for all financial reporting, cash management, prospectus and other regulatory filings, regulatory issues, audit liaison with external auditors, regulatory auditors, CRA auditors and HRSDC auditors, and for tax planning and tax return preparation.

Member of the Executive Committee and active participant in strategic planning.

Accomplishments

Converted financial statements to IFRS for the umbrella of companies including IIROC, MFDA, Corporate and Investment Fund Management companies.

Recently implemented a new Great Plains corporate financial reporting system to improve accounting efficiencies, as well as management reporting and monitoring capabilities. The main objective was for better performance reporting for the executive and to consolidate and stream line the purchasing practices for all companies, by achieving more optimal buying powers and eliminating the duplication of similar types of vendors and services.

In process of implementing a portfolio management, trading and compliance system to achieve improved compliance monitoring and financial reporting. Was able to negotiate an inexpensive deal for the initial conversion, software modifications and monthly licensing fees, due to on-going involvement in the development of the software.

Responsible for the registration of an Investment Fund Manager, including authoring a complete Compliance and Procedures Manual to meet all of the requirements under NI 31-102 and cover risk management goals.

Marquest Asset Management Inc. 1996 to 2008

Partner, Operations and CFO

Corporate Responsibilities

Ultimate Responsible Person and Chief Compliance Officer.

Tax, accounting, management of cash flow and investing of excess cash.

Personal and corporate tax planning for partners.

Budgeting and strategic planning.

Regulatory registrations and GIPS compliance and reporting.

Office management and facilities - negotiate leases, renovations, and outside service providers.

Personnel and payroll responsibilities for all staff.

Pooled Fund, Private and Institutional Clients

Responsible for daily monitoring of the Funds and Institutional accounts, including troubleshooting problems/questions from staff, brokers, clients, and custodians.

Preparation of monthly and quarterly reporting to clients and regulators.

Accomplishments

Involved in the design of a new family of pooled funds and responsible for composing legal and marketing documents, selecting trustee, and setting up accounting, unitization, and compliance procedures.

Selected and implemented numerous systems to keep up with regulatory developments and new technologies, including portfolio management accounting systems, pricing systems, and other operational systems including an Alternative Trading System.

Modeled and tested specifications for new funds including option funds, long/short funds, and income funds.

Designed daily portfolio modeling spreadsheets.

Worked closely with new software company to assist in the development of the Harmony Portfolio Management System, involvement which resulted in a very favourable licensing agreement and over $300,000 worth of upgrades and customizations at no cost.

Due to my proactiveness in searching out new technologies, Marquest was often the beneficiary of special pricing and servicing due to being an initial user and beta tester.

Developed compliance manual which incorporated all company policies, procedures, regulatory and SOX requirements.

Took part in several regulatory committees on issues and new regulations, such as soft dollars and the new registration rules.

PricewaterhouseCoopers LLP 1990 to 1996

Principal

Responsibilities

Specialized in financial institutions. Majority of client portfolio was mutual funds and insurance companies, including Fidelity Funds, and Zurich Insurance.

Personnel responsibilities for job and annual performance reviews of staff and on-going counseling.

Accomplishments

Became a specialist in the details of the operations and organizations of mutual fund and insurance companies and as a result was able to secure five separate special consulting assignments totaling over $1 million the purpose of which was to rectify reconciliation problems and design new operating control procedures going forward.

Special assignments also incorporated extensive prospectus work, preparation of recommendations for accounting and control systems at three large financial institutions and a business assessment of a provincial government insurance entity.

Special assignments to document and track suspect financial transactions.

Responsible for the development and instructing of in-house and industry training courses including financial statement analysis, insurance regulations, and investment fund courses.

Co-authored client newsletters for insurance and investment fund industries.

Lectured at industry conference and seminars.

Taught a week long course for three years on the preparation of OSFI regulatory filings

Responsible for projects to update and computerize audit programs for financial institution clients to incorporate prevailing business risks, new legislative requirements and new accounting and audit requirements.

Involved in the initial marketing and sales of P&C Pro, a new software product for P&C Insurance Companies.

Investment Industry Activities

Lecturer at Industry Seminars, such as for the National Society of Compliance Professionals. (Received an overall rating of 92%)

Active participant in the Portfolio Management Association of Canada.

Accomplishments 2004 to Present

Was a key contributor to the growth and recognition of the Portfolio Management Association which is now a highly respected association in the investment industry, most notably by the federal and provincial governments. In a few short years membership grew over 500%

Key person in the growth of the Annual General Meeting and obtaining $70,000 of sponsorship money from over 30 new industry sponsors. Most of these sponsors are now affiliate members of the association.

Member of the successful lobbying committee for tax amendments in Ottawa for Bill C-10, Mutual Fund Trust Rules and Prescribed Stock Exchanges, which included presentations to the House of Commons Standing Committee on Finance and the Senate Committee on Banking Trade and Commerce.

Organization of, and speaker, at Member Seminars for areas such as regulatory developments, GIPS, software solutions, IFRS, and Disaster Recovery Planning.

Very active in researching and presenting new technologies for the industry to members.

Key part of using our membership for buying power opportunities and being able to offer members special pricing and access to more resources and advice. Two examples include access for our members to a more comprehensive and reasonably priced benefit plan and a less expensive E&O and FI Bond insurance program, (which was opportune timing for members, with the implementation of the new registration rules).

Education and Other Qualifications

University of Toronto - Honours BA, Specialist in Commerce and Economics

Chartered Accountant Designation

Canadian Securities Course 2007

Partners Directors Officers Course 2007

CFA Level I

Volunteer Activities

Served on Financial Policy Advisory Committee for Ontario Government

Formerly Treasurer of Bayview Community Services

Volunteer work for the Canadian Cancer Society including raising funds in door to door campaigns and organizing fund raising activities including special music concerts.

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