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.

Meet Our Team

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:

Legal & regulatory counsel to asset managers

“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.

“AUM Law is responsive, pragmatic and sensible.”

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

“My experiences with AUM Law have been stupendous. We’ve been a client for several years and as a former practicing lawyer with a national law firm I’m very familiar with the varied quality of legal and regulatory services in the industry: AUM Law is second to none! If you’re looking for practical and cost-effective advice in the registrant and investment funds space I would highly recommend the team at AUM Law!”

Dave Sanderson, President and Co-Founder, Red Jacket Capital

Recent News and Events

Harvest Portfolios Group Hits $1bn in AUM

We would like to congratulate Harvest Portfolios Group for breaking through the coveted milestone of $1bn of assets under management regarding their suite of prospectus funds! January 29, 2021

AUM Law Speaks at PMAC Succession Planning Webcast

On February 4, the Portfolio Management Association of Canada (PMAC) will be hosting a virtual webcast. AUM Law’s Kevin Cohen will participate as a panellist to discuss the importance of succession planning from a client, regulatory and business continuity...

FINTRAC Updates its Guidance on Conducting AML Risk Assessments

One of the five core requirements of a registered firm’s anti-money laundering and anti-terrorist financing (AMLTF) compliance program is to conduct a risk assessment of its business activities and relationships. The business-based risk assessment must assess the...