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.
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
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...