Disponible en anglais seulement.

Team Value and Skills

Helen is a law clerk in our Securities Regulation and Investment Products group in Toronto and has over 25 years of experience supporting financial services clients with a range of securities, registration, and compliance matters. She assists dealer, adviser, and investment fund manager clients with registration, exemption applications and ongoing regulatory filings. Helen also has extensive experience with filings though the National Registration Database, the System for Electronic Document Analysis and Retrieval, and the System for Electronic Disclosure by Insiders.

Experience

Helen has extensive experience assisting Canadian and international clients to complete the requirements for registration in Canada. Helen regularly attends to the preparation and filing of documentation relating to initial registration and ongoing compliance requirements under securities legislation and with self-regulatory organizations, including drafting required forms and supporting documents, communicating with clients and preparing and filing materials with regulatory authorities, along with completing filings related to registered / permitted individuals. Helen also assists with preparing and filing of international adviser/international dealer/international investment fund manager permitted client exemption documentation. She drafts and prepares exempt trade reports and coordinates and assists with agent for service matters and exemptive relief application matters.

Certifications and Education

• Fellow of the Institute of Law Clerks of Ontario
• Completed the fellowship level examination on Securities Law (Honours)
• Associate Level Examinations of the Institute of Law Clerks of Ontario
• Graduate of Humber College