Regulatory Compliance Counsel and Consultants to Securities Registrants

AUM Law Professional Corporation (AUM Law) is a Canadian law firm focused 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.

We advise clients on Canadian securities laws and regulatory expectations, and in particular the registrant regulation framework established in National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103). Our clients include portfolio managers, dealers and investment fund managers, as well as individuals considering registration in those categories, and others involved in the investment and wealth management sector such as managers of mortgage investment entities.

We offer fixed-fee quotes for services whenever practicable. Our annual compliance plans are designed to provide firms with continuity of legal services and the peace of mind that comes with understanding changing regulatory expectations and deadlines.

Our team of lawyers, clerks and compliance consultants have practical experience and insights from working with our clients and with securities regulators, in addition to prior experience working within registrant organizations.

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.

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