Mable Lam is a Securities Registration Officer and supports the firm’s Investment Funds and Asset Management practice group and Derivatives practice group. She provides registration and compliance advice to advisers, dealers and investment fund managers. She has extensive experience in preparing applications and obtaining registrations and exemptions for registered and exempt firms with Canadian securities regulators. She has also assisted dealers in becoming members of the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA). Mable is the Chief Authorized Firm Representative on the National Registration Database (NRD) for many registrant clients and handles all types of submissions and filings on NRD.