Nicole assists clients with compliance matters relating to the registration and regulatory requirements of dealers, advisers, investment fund managers, and foreign exempt firms. She supports public company and investment fund transactions, as well as ongoing disclosure obligations.
Nicole is responsible for drafting documents to be filed as required by public companies, insiders, and investment funds, then filing them with stock exchanges and securities commissions for public and private financings, take-over bids, insider reporting, and all continuous disclosure matters.
She also handles filings though the National Registration Database (NRD), the System for Electronic Document Analysis and Retrieval (SEDAR), and the System for Electronic Disclosure by Insiders (SEDI).