Norton Rose Fulbright Canada LLP
Carla Monteiro is a securities law clerk in our Toronto office. She has extensive experience in the registrant registration and compliance area, including the registration of advisers, dealers and investment fund managers with the Canadian securities regulatory authorities and the Investment Industry Regulatory Organization of Canada (IIROC). She assists dealer members, registered firms and exempt international firms with compliance requirements and ongoing regulatory filings.
Ms. Monteiro also assists lawyers and clients with securities-related transactions and other matters, including public offerings, private placements, continuous disclosure obligations for reporting issuers and mutual funds, insider reporting and CDS filings, including ISIN/CUSIP requests. She also conducts research relating to compliance and securities requirements and performs searches and analysis of public disclosure documents.
She also handles ongoing regulatory filings through the System for Electronic Document Analysis and Retrieval (SEDAR), the System for Electronic Disclosure by Insiders (SEDI), the TSX SecureFile System and the National Registration Database (NRD).
- Chief Compliance Officers Qualifying Exam (CCOQ), Canadian Securities Institute, 2021
- Securities Law Fellowship Level Certificate, The Institute of Law Clerks of Ontario, 2002
- Associate Level Certificate, The Institute of Law Clerks of Ontario, 2002
- Law Clerk Diploma, Humber College, 1996
- Fellow, The Institute of Law Clerks of Ontario