Focusing on our clients’ needs is what we do best
AUM Law continues to focus on the needs of its clients. With our recent transaction with Borden Ladner Gervais (BLG), we collectively offer AUM’s fixed-fee regulatory compliance services and BLG’s long history of deep investment management expertise and long-standing counsel. Our goal is to expand and automate regulatory compliance services available to our clients as part of BLG Beyond’s portfolio of alternative legal services.
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 | March Break Edition | March 2023
March Break may have just passed, but it is still important to periodically take time to relax, reflect and recharge.
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...
Potential Extension of FINTRAC Requirements to the Mortgage Industry – There’s no Place Like Home
Registered dealers and advisers are well versed in the AML requirements contained in the Proceeds of Crime (Money Laundering) and Terrorist Financing Act. The federal Department of Finance has recently released proposed amendments to regulations under the Act that...
BLG’s Resource Corner
Our colleagues at BLG have provided the following insights we thought might interest our readers: Managing privacy and cyber risks in M&A transactions The Investment Funds Rule Book SEDAR+ is Coming – Will You be Ready? New CSA Exemption Provides Clarity for CBCA...