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Securities Lawyer and Compliance Professional

Meet Gwendolyn Dorais

Gwendolyn Dorais is a fluently bilingual (English & French) Barrister & Solicitor licensed with the Law Society of Ontario with over 25 years’ experience in Legal, Compliance and Risk Management. Gwendolyn provides regulatory compliance advice to registrants and practices corporate, commercial and securities law. She regularly advises clients on regulatory and compliance matters, including business conduct, sales practices, and conflict of interest matters.

Gwendolyn has extensive experience as a Chief Compliance Officer, Privacy Officer, and Chief Anti-Money Laundering Officer of IIROC and Canadian Securities Administrators regulated entities. She has expertise dealing with multi product foreign asset managers and international regulators. She has been viewed as an expert specialist in corporate initiatives across NorthAmerica, South America, Europe, Asia, and Australia. She has been engaged on multiple engagements regarding the licensing and registrations with IIROC, MFDA, OSFI, FINRA, SEC, all the provincial securities commissions and jurisdictions in the AsiaPacific regions.

Licensing and Registration in Canada for Portfolio Managers, Exempt Market Dealers, Mutual Fund Dealers, Investment Dealers, and in the Asian jurisdictions.

Ms. Dorais has implemented operating principles that recognize securities regulations, industry guidelines, and best practices for the provincial securities commissions, IIROC, FINTRAC, MFDA, OSFI, FINRA, the SEC and the Asian Pacific regulators. Gwendolyn has been successful in implementations ranging from single short-term initiatives to global, complex delivery implementations. She has relevant experience with regulatory and compliance matters with investment management firms, broker dealers and investment dealers.

Gwendolyn dorais


Called to the Bar as Barrister & Solicitor in Ontario, 2021

Master of Laws (Securities Law & International Business Law), Osgoode Hall Law School, 2020

Global Professional Master of Laws (Canadian Common Law), University of Toronto, 2019

LLB/JD (Hons.), University of Huddersfield (United Kingdom), 2018

The Osgoode Certificate in Pension Law, 2023

The Osgoode Certificate in Regulatory Compliance and Legal Risk Management, 2017

B. Comm, Ryerson University