Iva is an experienced securities lawyer who possesses regulatory and practical expertise gained within and leading legal and compliance teams, as well as with the Ontario Securities Commission. She joined AUM in 2023, with a focus on providing advice on regulatory compliance, conflicts and risk management for registrants.
Iva provides advice on a variety of compliance issues, including registration matters, conflict management, personal trading requirements and obtaining discretionary relief from regulatory requirements. She has been actively involved in drafting comment letters responding to policy initiatives that could impact various business groups.
Prior to joining AUM, she worked at one of Canada’s leading banks where she spent the last 14 years in legal and compliance roles of increasing responsibility. Most recently, she led a complex compliance transformation project aimed at optimizing several key conflict management programs, including using and enhancing technological advancements.
Iva also spent 17 years, including nine as a member of the corporate finance leadership team, at the Ontario Securities Commission, where she was a well-known and widely respected regulator.
Iva is an accomplished writer and speaker on topics related to regulatory compliance and risk management. Iva is working within AUM to assist with innovations in leveraging technological solutions to provide efficient legal services. Iva has a passion for regulatory policy and helps clients understand both the potential benefits, as well as the challenges, of enhancing a culture of compliance.
