Why Choose AUM Law?

Experienced. Knowledgeable. Connected. Focused.

As capital markets change and regulatory requirements become increasingly complex, people operating in the investment and wealth management industry need efficient, practical and flexible compliance solutions to help them effectively manage their businesses. Our team of lawyers, clerks, and compliance consultants have meaningful experience advising participants in Canadian capital markets, especially dealers, advisers and investment fund managers. Our professionals have diverse experience in the industry, and our breadth and depth as part of BLG Beyond enables us to thoroughly understand our clients’ businesses and provide practical, efficient advice.

Meet Our Team

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.

Industry Organizations

AUM Law is proud to be a member of the following industry organizations:

Client Testimonials

“AUM Law has been instrumental in helping our firm navigate through securities regulations and maintaining our ongoing compliance program. I have known members of the team for many years and found the support to be genuine in ensuring that we are well taken care of. The team is reliable, professional, and very responsive. They work well cohesively to ensure that our program and filings run smoothly throughout the year. The team make efficient use of their time and are transparent with the work being done. For ongoing securities needs, I highly recommend AUM and their team.”

Sarah Shin, Chief Financial and Operations Officer, and Chief Compliance Officer, BloombergSen Inc.

“We have been a client of AUM Law for several years, and I am continually impressed by their expertise, professionalism, and personalized approach. They have consistently exceeded my expectations with their adept handling of securities compliance matters making them a valuable partner to our firm.”

Tim Fitzpatrick, Chief Compliance Officer, Hazelview Securities Inc.

“We have worked closely with AUM Law for over 10 years, relying on them not only for specific advice on regulatory-related challenges, but also generally to assist us in our goal of achieving a ‘culture of compliance’. AUM Law is an integral component to our compliance function and has exceeded expectations at all times, especially when faced with occasional high-pressure and time-sensitive matters.”

David R. Kaufman, Chair and Co-CEO, Westcourt Capital Corporation

Recent News and Events

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...

AUM Law Team Members Announcements

We are delighted to welcome Iva Vranic as a Senior Legal Counsel to AUM Law. Iva’s practice focuses on securities law, specifically regulatory compliance and risk management for registrants. Prior to joining AUM Law in 2023, she worked at Scotiabank where she spent...