Elizabeth King
Deputy Director, Registrant Conduct, Registration, Inspections & Examinations @Ontario Securities Commission
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WORK HISTORY
Deputy Director, Registrant Conduct, Registration, Inspections & Examinations @Ontario Securities Commission
CA
Elizabeth provides oversight to two teams of lawyers, accountants, and registration officers handling registration and registrant conduct matters. The teams play a critical role in assessing those who seek to enter the securities regime and in reviewing cases involving serious non-compliance and registrant misconduct. Elizabeth\'s responsibilities also include providing leadership on major OSC policy initiatives that impact registrants.
EDUCATION
Queen's University
BA (Hons)
York University - Osgoode Hall Law School
Bachelor of Laws (LLB)
ABOUT ELIZABETH KING
Elizabeth has over 25 years of legal experience specializing in securities, compliance, and regulatory matters for investment management firms, dealers, and trust companies. In her career, she has gained a unique combination of industry and regulatory perspectives. Currently working at the OSC, she provides oversight to two teams of lawyers, accountants and registration officers handling registration and registrant conduct matters.
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