Donna Leitch – Senior Securities Compliance and Registration Advisor
Donna is a Senior Compliance and Registration Advisor with BAX Securities Law. Donna has over 20 years of experience in regulatory and legal environments including in a managerial role with the Ontario Securities Commission. Her practice focus is on registration and compliance related matters for firms in all categories of securities registration including exempt market dealers, investment dealers, advisers, and investment fund managers. Donna can assist with your initial and ongoing regulatory and compliance needs including obtaining registration, advising on compliance obligations; preparing policies & procedures manuals and supporting documents; preparing managed account agreements and account opening documentation; filings with securities regulators via the National Registration Database and otherwise; assist firms during compliance reviews.
Donna was an Assistant Manager of the Registrant Regulation Branch at the Ontario Securities Commission for over ten years where she was responsible for implementing National Instrument 31-103 Registration Requirements and Exemptions and Ongoing Registrant Obligations, the Canadian registration regime for advisers, dealers and investment fund managers which was introduced in 2010. Donna was a senior securities law clerk in Fasken Martineau DuMoulin LLP’s Securities Group where she was responsible for providing assistance to dealers, advisers and investment funds managers with respect to compliance and regulatory matters.
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155 University Avenue, Suite 300, Toronto, ON M5H 3B7