How Can We Help You?
Our legal and regulatory compliance Solutions
Are you planning to start, acquire or grow an asset management business? Do you have questions about whether your business needs to be registered with Canadian securities regulators or about you and your firm’s ongoing obligations under Canadian securities laws? Are you planning to launch a private or public investment vehicle or do you need legal or regulatory compliance advice about its operations? Are you looking to leverage your existing team by outsourcing some general counsel or compliance functions to a law firm that understands your business? AUM Law has the expertise, experience and connections to help you efficiently navigate Canada’s securities regulatory landscape.
- Registration / licensing of firms and individuals
- Compliance documentation including compliance manuals
- Ongoing registrant obligations, including know-your-client (KYC), know-your-product (KYP), suitability and conflicts of interest rules
- Compliance training
- Compliance risk assessments (aka “mock audits”)
- Assistance with implementing the Client-Focused Reforms (CFRs) to National Instrument 31-103 (including regulatory gap analyses, developing implementation plans, updating compliance documentation and customer-facing documents, and training)
- NRD and other regulatory filings
- Assistance in completing the Ontario Securities Commission's 2020 Risk Assessment Questionnaire (RAQ)
- Assistance with regulatory audits and other regulatory examinations
- Exemptive relief applications and interpretations of securities law
- Registrant misconduct matters
- Formation of public and private, pooled investment vehicles
- Establishment and acquisition of asset management businesses
- Drafting prospectus, offering memoranda, terms sheets and other investor disclosure documents
- Ongoing support for investment fund managers, portfolio managers and dealers
- Exemptive relief applications and interpretations of securities law
- SEDAR, SEDI and exempt trade report filings
- Private placements
- Formation and organization of business entities including corporations, medical professional corporations (MPCs), veterinary professional corporations (VPCs), limited and general partnerships, and trusts
- Mergers, acquisitions and restructurings
- Material business agreements
- Due diligence
- Custody and maintenance of minute books and corporate record books
- Corporate governance and compliance
- Organization of board of directors and shareholder meetings
Our Approach
AUM Law offers practical, cost-effective legal and regulatory compliance advice from a team that prioritizes your business and understands your industry. We focus on the Canadian asset management sector, and we have deep expertise in the legal and regulatory issues relevant to firms operating in Canada’s exempt and public capital markets.
Our team-based approach, fixed-fee compliance support plans, extensive experience engaging with securities regulators, and connections with other service providers in this industry will help you navigate the evolving securities regulatory environment with confidence so that you can focus on what you do best.
Latest Insights and News
Bulletin | 2020 Year-End Edition | December 2020
In this month’s bulletin, we provide a full 2020 regulatory highlights recap, discuss OSC’s corporate finance branch Report, important investment funds deadlines, updated CFR rules, and more.
AUM Law Participates in CAASA Webinar
As a proud member of the Canadian Association of Alternative Strategies and Assets (CAASA), AUM Law is pleased to contribute to CAASA’s ongoing educational programming. On November 23, our very own Jason Streicher contributed his expertise to CAASA’s webinar Client...
Check Out Our New Videos
In connection with sponsoring the recent PMAC compliance conference, we put together an “about us” video that you can watch on our YouTube channel here. We also filmed some FAQs – the first one features Kim Poster, our Chief Legal Counsel & Senior Vice President,...
CSA Publishes Guidance on Automatic Securities Disposition Plans
On December 10, the Canadian Securities Administrators published guidance (including “recommended best practices”) for issuers and insiders on the establishment, use and disclosure of automatic securities disposition plans. These plans enable insiders to make...