Tag: compliance consultant

Welcome William (Bill) Donegan to AUM Law

We are delighted to welcome Bill Donegan as Senior Compliance Consultant to AUM Law. In his role, Bill will provide senior level advisory services to registered individuals and dealers, on all aspects of their securities regulatory compliance obligations and the...

AUM Law Team Member Announcements

We are delighted to welcome Vivek (Vik) Bali as Legal Counsel to AUM Law. Vik’s practice will focus on regulatory compliance. Before joining AUM Law, Vik articled and then worked in the KYC, Compliance and AML spheres at UBS Bank (Canada). Vik graduated from Osgoode...