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:

“AUM Law provides wise counsel, great service, and always valuable input. They are key to keeping us on track with regulators.”

Lawrence J. Dittrich, Chief Compliance Officer, Wickham Investment Counsel Inc.

“I really appreciate the quick response (also the late phone consultation and the early morning email). Also, I have never seen positive feedback to a Compliance Training session like we have had at Forthlane. Thank you for achieving the impossible!”

Mark H. Roth, Co-President, Operations and Strategy, Forthlane Partners

“AUM Law is responsive, pragmatic and sensible.”

David Moss, General Counsel and Head of Compliance, Permian Global

Recent News and Events

AUM Law’s COVID-19 Response

In light of the continued spread of COVID-19, we want our clients to know that we have business continuity plans in place that enable us to operate with as little disruption as possible as the situation changes. Our lawyers and clerks are working remotely, enabling us...

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Get Ready to RAQ and Roll

Ontario Securities Commission (OSC) staff have begun notifying registrants that they will receive a risk assessment questionnaire (RAQ) on April 15. The OSC uses the information collected from these bi-annual questionnaires as part of its risk-based supervision...

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