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 | Wimbledon Edition | June 2022
In this bulletin edition, we discuss some tips relating to the conflicts of interest requirements, amendments to other activity reporting for registrants, the CSA’s new business plan, additional derivatives proposals and much more below.
Important Reminders: Don’t Double Fault: F4 Updates and Exempt Trade Reports Take Time
As referenced in our article above, the amendments to National Instrument 33-109 Registration Information (NI 33-109) are now in force. As a result, any changes required to be made to an individual registrant’s Form 33-109F4 must be done no later than June 6, 2023....
BLG’s Resource Corner
Our colleagues at BLG have written the following articles we thought might interest our readers: Fund Total Cost Reporting – Coming to Investor Statements by 2025? Cullen Commission Final Report Makes Sweeping Recommendations for Anti-Money Laundering Regulation in...
BLG’s Resource Corner
Our colleagues at BLG have written the following articles we thought might interest our readers: Ontario Court Grants Anton Piller Order in Cryptocurrency Heist Immediate and Permanent Changes to Canada’s Anti-Money Laundering Laws Mind Your Spreadsheets: Tips to...