Sang Phu is a senior compliance and regulatory expert with 18 years’ experience in the investment industry. Sang joined Comarm’s team of consultants after 8 years with the Investment Industry Regulatory Organization of Canada where she was most recently a Senior Business Conduct Examiner. Prior to that, Sang worked in Compliance for two independent, mid-sized, investment firms and also spent three years with a large bank-owned dealer.
At IIROC, Sang’s leadership abilities and communication skills were demonstrated through her responsibilities in training and mentoring new examiners.
Sang’s breadth of industry experience and knowledge, with Dealer Members and as a regulator, give her excellent perspective and understanding in assisting Comarm’s clients to address challenging regulatory issues facing investment firms.