Areas of Law
Banking/Finance
Corporate Law
Biography
As the BCSC’s Manager, Legal Services (Capital Markets Regulation) I manage an exceptional team of 12+ lawyers and professionals working on a broad variety of matters including registration matters; marketplace, exchange and trading issues; SRO oversight (including IIROC and MFDA); conduct of dealers, advisers and investment fund managers; and other issues impacting capital markets. I also lead BCSC’s Fintech & Innovation Team (FIT), which is involved in fintech support, outreach and analysis. The FIT handles a broad spectrum of fintech and regtech matters including robo-advising, crowdfinancing, AI/machine learning, crypto-assets, blockchain, ICOs, online trading and other technology-focused business models.
I am a Canadian and U.S. qualified lawyer and MBA with wide-ranging senior-level legal, compliance, privacy and business management experience. My experience also includes executive-level leadership, complex project management, people management, board directorships, corporate governance and risk management. Legal expertise includes securities regulation, corporate/commercial, M&A, finance/banking, privacy, cybersecurity, technology & social media, litigation, employment/HR, tax and intellectual property (former registered trade-mark agent).
