Why Choose AUM Law?
EXPERIENCED • KNOWLEDGEABLE • CONNECTED
As capital markets change and regulatory requirements become increasingly important, asset managers need comprehensive and flexible legal and regulatory compliance solutions to help them effectively manage their businesses. Our team of lawyers and law clerks have significant experience advising participants in Canadian capital markets, especially registered firms, their management and registered individuals including investment fund managers, portfolio managers, dealers, chief compliance officers (CCOs), ultimate designated persons (UDPs), registered representatives, and independent review committees (IRCs). Before joining AUM Law, our lawyers practised securities, corporate and commercial law at the Ontario Securities Commission and highly regarded Canadian law firms. Our lawyers also have legal experience advising or working as in-house counsel for Canadian and international financial market participants, mutual fund companies, alternative asset managers and merchant banks. Our collective experience enables us to thoroughly understand our clients’ businesses and provide practical legal and regulatory compliance advice.
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.
Industry Organizations
AUM Law is proud to be a member of the following industry organizations:
Recent News and Events
OSC Staff Share Compliance Program Updates during PMAC’s Spring Regulatory and Compliance Webcast
During the Spring Regulatory and Compliance Webinar organized by the Portfolio Management Association of Canada (PMAC) on May 27, a member of the Compliance and Registrant Regulation Branch (Branch) at the Ontario Securities Commission (OSC) updated attendees on the...
AUM Law Speaks at PMAC Spring Regulatory and Compliance Webcast
On May 27, the Portfolio Management Association of Canada (PMAC) hosted a virtual regulatory and compliance webcast. AUM Law’s Kevin Cohen and Chris von Boetticher participated as panellists in a session for small to mid-sized asset managers to discuss the impact of...
AUM Law Participates in CAASA Webinar and Podcast
As a proud member of the Canadian Association of Alternative Strategies and Assets (CAASA), AUM Law is pleased to contribute to CAASA’s ongoing educational programming. On April 21, our very own Stacey Long contributed her expertise to CAASA’s webinar Marketing Your...