SECURITIES LAWYER AND COMPLIANCE PROFESSIONAL
Meet Gwendolyn
Gwendolyn Dorais is a fluently bilingual (English & French) Barrister & Solicitor licensed with the Law Society of Ontario with over 25 years’ experience in Legal, Compliance and Risk Management. Gwendolyn provides regulatory compliance advice to registrants and practices corporate, commercial and securities law. She regularly advises clients on regulatory and compliance matters, including business conduct, sales practices, and conflict of interest matters.
TALK TO US! WE PROMISE WE CAN HELP YOU!
You can trust us to get you the advice you need.
OUR SERVICES
Gain the insights, advice and tools to achieve your mission-critical priorities
Drafting Policies and Procedures, Forms and Documents
Licensing and Registration in Canada and Asian jurisdictions
Compliance Outsourcing
Regulatory Audit Support
AML Effectiveness Reviews
Training and Development
Regulatory Mock Audits
OUR CLIENTS
Who can we help?
Our clients include small, medium and large-sized securities registrants, including:
- Portfolio Managers
- Investment Fund Managers
- Exempt Market Dealers
- Investment Dealers
- Mutual Fund Dealers
- International Dealers/International Dealers Exemptions
- International Advisers/International Advisers Exemptions
Areas we serve
Canada USA Asia Australia Europe
