Focusing on our clients’ needs is what we do best
AUM Law was founded in 2009 with a vision to serve the regulatory compliance needs of securities registrants. Our firm name was chosen to reinforce our vision: Assets Under Management law.
AUM Law has been associated with Borden Ladner Gervais LLP (BLG) since May 2021 and is integrated with BLG’s suite of alternative legal services: BLG Beyond. Our goal is to provide practical, innovative and cost effective regulatory compliance services to our clients, leveraging off automation and technological advances where appropriate.
How Can We Help You?
AUM’s Legal and Compliance Solutions for Registrants
Do you have questions about your firm’s ongoing obligations under Canadian securities laws? Are you looking to leverage your existing team or fill in temporary gaps by outsourcing specific general counsel or compliance functions to a law firm that deeply understands your business? Are you planning to start or grow an investment management or wealth management business? Do you know what you need to do, if a member, to stay in compliance with the rules and expectations of Canada’s new self-regulatory organization — the Canadian Investment Regulatory Organization (CIRO)? Do you need legal or regulatory compliance advice about how you manage, distribute and operate your sponsored investment vehicles? AUM Law has the expertise, experience and connections to help you efficiently navigate Canada’s securities regulatory landscape.
Our Approach
AUM Law offers practical, cost-effective legal and consulting advice on securities regulatory compliance matters. We focus on the Canadian investment and wealth management sector, and we have deep expertise in the legal and regulatory issues relevant to firms operating in this industry.
Our team-based approach, fixed-fee annual compliance support plans and other fixed-fee services, extensive experience engaging with securities regulators, and connections with BLG and other service providers in the industry help clients navigate the ever-evolving securities regulatory environment with confidence.
AUM Law has been associated with Borden Ladner Gervais LLP (BLG) since May 2021 and is integrated with BLG’s suite of alternative legal services: BLG Beyond. If a legal or regulatory issue arises that falls outside the scope of AUM Law’s services, we can seamlessly help to source the relevant expertise. In addition, BLG Beyond offers many alternative legal services important to a registrant’s business, including sophisticated consulting services for transformation initiatives and intellectual property advice to help clients navigate and leverage IP assets.
Latest Insights and News
Bulletin | The Telly Edition | November 2023
Speaking of accurate and engaging content, we hope you enjoy the following regulatory updates from out latest bulletin.
AUM Law Spoke at the PMAC AML and ATF Training Session
Don’t change that dial; on November 30 AUM Law’s Chris Tooley participated as a speaker for the third year in a row at the Anti-Money Laundering and Anti-Terrorist Financing Training Session hosted by PMAC. Chris covered core concepts around money laundering and...
OSC Releases Draft Statement of Priorities
The Ontario Securities Commission (OSC) has released its annual draft Statement of Priorities for 2024-2025 (SoP). There are no less than 16 key priorities set out in the SoP. The priorities we think may be of most relevance to our readers are described below. Assess...
OSC Report on Artificial Intelligence in Capital Markets
This month, the Ontario Securities Commission (OSC) in collaboration with Ernst & Young LLP published its first report (the Report) on the adoption and use of artificial intelligence (AI) in Ontario’s capital markets. The Report canvasses the ways AI is currently...