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Rachel Palozzi

Commis juridique, AUM Law*

Toronto
[email protected]
416.966.2004 x251

Expertise

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Rachel has nearly 30 years of experience handling registration and compliance matters. Her expertise includes handling initial and ongoing securities regulatory filings through the National Registration Database (NRD) and other national systems. She also assists adviser and dealer clients in their compliance filings with securities commissions throughout Canada. Prior to joining AUM Law, Rachel gained regulatory compliance experience as a registration officer at a securities commission for over seven years.

*AUM Law Professional Corporation (“AUM Law” and “AUM”) is wholly owned by Borden Ladner Gervais LLP (“BLG”) but is a separate legal entity that is licensed in Ontario to directly or indirectly provide legal or other services to clients.

AUM and BLG operate and carry on business as separate legal entities. They are not one partnership and therefore neither AUM nor BLG is responsible for the acts or omissions of, nor has any authority to obligate or otherwise bind, the other.

Education

  • Securities Law Clerk Certificate (Fellowship Level), Institute of Law Clerks of Ontario
  • Chief Compliance Officers Qualifying Exam, Institut Canadien Des Valeurs Mobilieres
  • Canadian Securities Course, Institut Canadien Des Valeurs Mobilieres
  • National Certified Investigator and Inspector Training, Council on Licensure, Enforcement and Regulation
  • Certificate in Dispute Resolution, Université de Windsor