Rachel Palozzi

Rachel has experience handling registration and compliance matters dating back to 1995. Her expertise includes handling initial and ongoing securities regulatory filings through the National Registration Database (NRD) and other systems. She also assists advisor and dealer clients in their registration and compliance filings with securities commissions throughout Canada.

Before joining AUM Law in 2018, Rachel worked as a registration officer in the Compliance and Registrant Regulation Branch at the Ontario Securities Commission (OSC). Prior to joining the OSC in 2011, she worked as a compliance officer and inspector for the Travel Industry Council of Ontario for over thirteen years.


  • Securities Law Clerk Certificate (Fellowship Level), The Institute of Law Clerks of Ontario
  • Chief Compliance Officers Qualifying Exam, Canadian Securities Institute
  • Canadian Securities Course, Canadian Securities Institute
  • National Certified Investigator and Inspector Training, Council on Licensure, Enforcement and Regulation
  • Certificate in Dispute Resolution, University of Windsor Faculty of Law

Professional Experience

  • Ontario Securities Commission
  • Travel Industry Council of Ontario
  • Ministry of Consumer and Commercial Relations