Ann Lattanzio

Compliance & Registrant Regulation Specialist


Ann Lattanzio

Ann is a member of the Securities Law Group and is a member of the Investment Funds Group in the firm's Toronto office. Ann's practice focuses primarily on registrant registration requirements and ongoing obligations for clients carrying on activities in the capital markets.

Ann oversees the registration of firms and individuals registering with the securities commissions under the dealer and adviser categories such as Exempt Market Dealers, Portfolio Managers, Investment Fund Managers, Investment Dealers. Following registration, Ann also assists clients in maintaining their registration and complying with securities law.

Ann also provides a variety of complex securities services to our corporate finance clients with respect to initial public offerings, private placements, continuous disclosure and regulatory filings, including coordinating prospectus and continuous disclosure filings, preparing and organizing documents, liaising with securities regulators and other participants. Another aspect of Ann’s role is to prepare formal relief applications to the securities commissions as well as documentation relevant to public distributions of securities such as exempt distribution reports, stock exchange notices or applications.

    Professional Activities

    • Co-Chair Certification, Board of Directors, The Institute of Law Clerks of Ontario, 2019 – 2021

    • Canadian Securities Institute: Canadian Securities Course (CSC), Chief Compliance Officers Qualifying Exam (CCOQ)
    • University of Toronto: Securities Law (Fellowship)
    • Sheridan College: Corporate Law Clerk Certificate
    • Centennial College of Applied Arts and Technology: Office Administration (Legal) Diploma
    • IFIC: Exempt Market Proficiency Course (in process)
    • International Practice Management Association, Member
    • Private Capital Markets Association, Member
    • Canadian Association of Black Lawyers, Member
    • Institute of Law Clerks of Ontario, Member
    • WeirFoulds' Equality, Diversity and Inclusion Committee, Member

    Speaking Engagements

    Speaker, Exempt Market Dealers Presentation, October 15, 2009

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    Legend: GeneralLitigationPropertyCorporateGovernment