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About Lisa

Lisa has more than 14 years of experience in the registrant regulation area. Her primary focus is to assist clients with all aspects of dealer, adviser and investment fund manager registrations and exemption processes. This includes, among other things, assisting with the completion of documents related to the application process and maintenance of securities registrations held with the Investment Industry Regulatory Organization of Canada (IIROC) and the securities regulatory authorities. She also arranges for client review and execution, and acts as authorized firm filer on the National Registration Database.

In addition, Lisa conducts registrant searches, prepares forms for foreign firms seeking exemption from registration, and assists with annual filings and notices.

Earlier in her career, she was seconded to the Canadian Imperial Bank of Commerce, where she worked directly with the law clerks and general counsel in the branch enquiries group.

Professional Activities

Lisa has attended several conferences, including the Professional Development Registrant Regulation – Compliance and Conduct Summit, the Registration Reform Conference, the National Registrant Regulation Conference, the National Registration System Conference and the National Registration Database Conference.

Law Clerk Certificate, Humber College of Applied Arts and Technologies – 1999
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