Ruoxi’s practice focuses on the securities laws that apply to securities registrants, including portfolio managers, dealers and investment fund managers. Before joining AUM Law in 2023, she began her legal career inhouse as legal counsel, then senior legal counsel with a major insurance, investment and financial services company engaged in general corporate and investment fund matters. Ruoxi has gained experience in securities registrant regulation and compliance, including developing, reviewing and assessing policies and procedures. She has also prepared regulatory filings for funds and assisted with responses to regulatory inquiries and audits. Ruoxi is fluent in Mandarin.
Bar Admission & Education
- Ontario, 2018
- JD, Osgoode Hall Law School, 2017
- BA, University of Guelph, 2013
*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.