Phillip Shum

Director, Listings Development at Canadian Securities Exchange (CSE)

Toronto, CA

How does this work?

•25+ years of a combination of finance, technology and marketing experience. Key highlights include working with companies on a go-public experience, evaluation of small and mid cap stocks for investment purposes, financial markets sales and communications, investor relations, strategic marketing strategy and plan development, go-to-market plans, product management, market forecasts and business case development, competitive intelligence marketing research, and product pricing. •Exceptional team player and a highly motivated self-starter. •Excellent problem solver and project management skills.

Ask me about
capital markets
investor relations
Work experience

Apr 2018 - Present

Canadian Securities Exchange (CSE)

Director, Listings Development

Responsible for listing prospect development for the CSE in the Central Canadian region, eastern United States, Asia, and Europe. I work with investment dealers, securities lawyers, auditors and accountants, IR and financial communications professionals, accredited investors/angels and merchant bank groups, entrepreneurs, company starters, and incubators to guide them through the issuer go-public process. The Canadian Securities Exchange, or CSE, is operated by CNSX Markets Inc. Recognized as a stock exchange in 2004, the CSE began operations in 2003 to provide a modern and efficient alternative for companies looking to access the Canadian public capital markets.

2012 - Apr 2018

Vice President is the leading resource for small cap investors. Our one-of-a-kind website gives visitors unparalleled engagement and access to smallcap companies, fund managers, research analysts, subject matter experts, investment professionals as well as fellow site visitors. is also proud to be the exclusive online destination to access Ubika Research reports, CEO video interviews and daily investment ideas. brings investors, small cap companies and financial industry professionals together to interact, discover and communicate through our one-of-a-kind platform where they are encouraged to ask questions and share ideas. and Ubika Research are subsidiaries of Gravitas Financial Inc.(CSE: GFI) Key activities include: •Business development - work with new prospects to learn about SCP's product offerings. Solicited approx. the majority of new client engagements. Attended various trade shows to solicit new clients. •Identify and evaluate small cap investments, and SCP commitment levels. Excellent knowledge of various investment sectors / trends (mining/technology/payments/special situations/etc.) •Identify and nurture small cap professional / investor relationships (IAs, fund managers, analysts, etc.) •Generate market awareness and go-to-market strategies for listed companies through online and offline communication strategies, including equity research, content services (videos, webinars, articles, etc.), offline events, and digital services (social media, investor lead programs, etc.) •Point person for client service to manage issuer relationships •Develop and price new products •Develop communication plans for SCP (Strategy, message, tactics)


2010 - 2011


Product Experience Manager, Canada

Manage product portfolio for PayPal Canada. Market analysis to determine suitability of new product market introductions . Act as the voice of the Canadian PayPal consumer to ensure a positive user experience while utilizing PayPal products. Direct and correspond with international resource to manage product mix. Work with PayPal Canada marketing to manage launch programs and tactics.


Mar 2005 - Oct 2010


Manager, Marketing and Sales Operations

Develop and implement international marketing strategies and tactics in order to bring CPNI's mobile payments and banking software solutions for banks, telecommunication companies, and financial industry service providers to fruition.


Oct 2003 - Mar 2005

PS Consulting

Personal Technology Consultant


Mar 2002 - Oct 2003


Marketing Manager


Apr 2001 - Mar 2002


Service Provider Marketing Specialist


2001 - 2002

Affiliated Computer Services

Account Manager

1998 - 2000

Second Dimension International

Marketing Programs Manager


York University

Bachelor of Administrative Studies, Honours, Marketing

George Brown College

Sport and Event Marketing Diploma

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