Carla Monteiro is a senior law clerk in our Toronto office with extensive experience in registration, compliance and securities matters.  Carla assists with the initial and ongoing registration of advisers, dealers and investment fund managers with the Canadian securities regulatory authorities and Canadian Investment Regulatory Organization (CIRO).  Carla often facilitates proficiency exemption applications, review of policy and procedures manuals and on-going regulatory reporting requirements for registered firms.  

Carla's practice also includes cybersecurity and privacy matters.  She assists lawyers and clients in preparing for and responding to data and privacy breaches and complying with provincial and federal privacy regulations and regulatory reporting requirements.

Carla has experience with a variety of securities-related transactions, including public offerings, private placements, continuous disclosure obligations for reporting issuers and investment funds, insider and early warning reporting and CDS filings, including ISIN/CUSIP requests.  

She also handles regulatory filings through SEDAR+, SEDI, TMX Linx and NRD.