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 | Anti-Boredom Edition | July 2023
While it is hard to believe we have already reached mid-summer, it is almost harder to believe that July was designated as Anti-Boredom Month! Read more about our exciting monthly bulletin dedicated to summarizing updates and changes in the regulatory compliance world.
BLG’s Resource Corner
Our colleagues at BLG have provided the following insights we thought might interest our readers: A New Year and a New SRO: Two months in Emphasizing risk culture in financial institutions: OSFI releases draft Culture and Behaviour Risk Guideline CSA publishes rules...
OSC Releases Annual Summary Report for Dealers, Advisers and Investment Fund Managers
On July 27, 2023, the Ontario Securities Commission (OSC) released its annual report outlining the work staff conducted in 2022/23 (to date). The report has four parts, outlining the OSC’s (i) education and outreach to registrants; (ii) regulatory oversight activities...
Learning Something New – CIRO’s Proposed New Proficiency Model
The Canadian Investment Regulatory Organization (CIRO) has released a consultation paper that should be reviewed by every dealer member of the self-regulatory organization. CIRO’s proposed new proficiency model represents a significant change from current requirements...