Regulatory Compliance
We Live and Breathe Registrant Regulation
Regulations touch every aspect of investment management operations. AUM Law provides a full range of initial and ongoing regulatory compliance and legal services to investment fund managers, portfolio managers, exempt market dealers, scholarship plan dealers, and other dealers.
We advise firms and individuals on whether their business requires registration and whether they meet the registration criteria, we prepare and file registration packages, and we liaise with Canadian securities regulators on their behalf throughout the registration process. We prepare and keep up-to-date compliance manuals tailored to your business, as well as train management and your employees on their compliance responsibilities. Once your firm is registered, you can take advantage of our fixed-fee compliance support plans to help you stay on top of your firm’s ongoing obligations as a registrant as the securities regulatory environment evolves.
We engage with the Ontario Securities Commission (OSC), other Canadian securities regulators, and industry participants to monitor the Ontario Securities Act, other securities legislation, regulatory decisions and rapidly evolving industry policies, procedures, and practices. Our legal and regulatory expertise, combined with our industry experience, enable us to confidently advise your firm of its obligations so that you can focus on managing your business.
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.
Regulatory Compliance Group Insights
CSA FAQ Guidance on Client-Focused Reforms – Part 2
On September 28, the Canadian Securities Administrators (CSA) published guidance in the form of responses to frequently asked questions (FAQs) about how to interpret and implement the client-focused reforms (CFRs) to National Instrument 31-103 Registration...
CSA Publishes FAQ Guidance on the Client-Focused Reforms
On September 28, the Canadian Securities Administrators (CSA) published guidance in the form of responses to frequently asked questions (FAQs) about how to interpret and implement the client-focused reforms (CFRs) to National Instrument 31-103 Registration...
OSC’s CRR Branch Publishes Its Annual Report on Registrants
On September 14, staff of the Compliance and Registrant Regulation (CRR) Branch at the Ontario Securities Commission (OSC) published their Annual Summary Report for Dealers, Advisers and Investment Fund Managers (Report). The OSC encourages registrants to use the...