Khushboo Solanki

Background

About Khushboo Solanki

Currently associated with Ontario Securities Commission majorly looking in to Insider Trading matters, assessing any violations of Ontario Securities Act and Commodities futures Act. Handling the intake of Market abuse- Insider Trading files as per the Intake guidelines. Providing support to Case Assessment Investigations team as required- Former employee of the national self-regulatory organizations - Canadian Investment Regulatory Organization as Case Assessment Officer to conduct preliminary reviews on the complaints filed by the firms on CIRO portal, assess for potential regulatory violations to recommend escalating to Investigations or Caution the Industry participants.Former EA provided support to investigators and Enforcement counsels. Acted as an intermediary between FINRA and IIROC member firms for ISG (Intermarket Surveillance Group) requests. Initiated and lead the document management process and streamline the operations support tasks. Maintain the enforcement process manuals at par with the changes in the securities industry and new technology in case management systems- CIBC bank as Financial Service Representative - Excelled in customer service, resolving client's concerns, dispute resolution, processing with new product applications. Proficient use of MS Office - Word, Excel, PowerPoint, outlook. Excellent time management and Organisation skills- Juris Matrix Advocates & Solicitors Law firm as Jr Advocate- Bonanza Portfolio Ltd- Assistant Manager, legal - excelled in building investor relations, successful in minimizing the rate of investor complaints, drafting responses to investor complaints, handling arbitration- drafting and pleading, company policy drafting under AML and Insider Trading Regulations, MIS preparation, and reporting. Worked on registration and due diligence for the company under FATCA (Foreign Account Tax Compliance Act)- Worked with National Stock Exchange of India, India's first Stock Exchange to provide an automated trading system for investors, in Arbitration department - administer arbitration process, from registration till the outcome, appointment of panel arbitrators, attend hearings, drafting minutes, addressing queries related to NSE arbitration process, explaining about NSE By-laws and provisions of law.