Comprehensive legal and regulatory advice for fund managers, portfolio managers, and investors
The business of establishing and running investment funds has become increasingly complex. Our experienced investment funds lawyers and law clerks can advise you in connection with starting or acquiring an asset management business, conducting due diligence on investment managers or opportunities, and selecting, structuring and implementing public or private investment vehicles.
Our clients manage and invest through various pooled vehicles including prospectus-exempt pooled funds, mutual funds including alternative mutual funds, segregated accounts, private equity and venture capital funds, closed-end funds, real estate investment trusts (REITs), mortgage investment corporations (MICs), mortgage investment funds, and syndicated mortgage investments.
We can also prepare offering documents (such as term sheets, offering memoranda and prospectuses), subscription agreements, and investment management agreements, as well as prepare and submit filings to regulators.
AUM Law also provides practical and flexible ongoing legal and regulatory counsel to portfolio managers and investors on the issues that arise during the course of their business, including:
- Assisting clients in conducting due diligence and responding to due diligence inquiries
- Material changes to investment funds
- Independent review committee setup and support
- Exemptive relief applications
- Acquisitions of other businesses
- Restructurings and mergers
- Updates and amendments to offering documents
- Review of service provider agreements
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.
Investment Funds Group Insights
The Canadian Council of Insurance Regulators (CCIR) and the Canadian Insurance Services Regulatory Organizations (CISRO) are consulting on concerns they have regarding upfront commissions used in the sale of segregated funds and individual variable insurance contracts...
The Ontario Securities Commission’s (OSC’s) Investor Office leads the OSC’s efforts in investor engagement, education, outreach and research. The Investor Office launched a survey that ran between September 27 to October 4, 2021, to assess the financial literacy of...
Amendments to National Instrument 45-106 on the Horizon as the Listed Issuer Financing Exemption Takes Flight
In the Canadian Securities Administrators’ (CSAs’) ongoing efforts to reduce regulatory burden and better provide for cost-effective capital raising mechanisms, the CSA has developed the Listed Issuer Financing Exemption (Exemption), a prospectus exemption aimed at...