Joan focuses on organizing simplified prospectus renewals in our Investment Management Group.
This includes the preparation of securities documents, including reviewing and updating pro forma simplified prospectuses and annual information forms, to the preparation and filing of the final documents.
Joan also assists in the preparation of documents and filing of initial public offerings, including long- and short- form prospectuses and special warrant transactions.
Joan assists with:
- preparing and filing continuous disclosure documents and regulatory securities filings, including exemption applications, material change reports and compliance filings, and early warning and alternative monthly reports
- communicating with securities regulatory authorities
- liaising with clients and organizing annual financial disclosure for both public and mutual fund companies
Joan has extensive experience with SEDAR (System of Electronic Document Analysis and Retrieval) and SEDI (System of Electronic Disclosure by Insiders). Joan's experience includes both corporate procedures and regulatory securities matters with an emphasis in mutual funds.