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
Reminder: OSC Participation Fee Calculation and Payment
It’s time for Ontario-registered firms, unregistered exempt international dealer/adviser firms, and unregistered investment fund managers to get ready to file their annual participation fee calculations with the Ontario Securities Commission (OSC) by December 1 and...
FSRA Publishes 2021-22 Statement of Priorities for Comment
On October 13, the Financial Services Regulatory Authority of Ontario (FSRA) published for comment its proposed 2021-22 Statement of Priorities (SoP). We think our readers may find the following elements of the proposed SoP interesting. Cross-Sectoral Priorities: FSRA...
Kik Back in the News after Settling U.S. Enforcement Proceedings Regarding Its Token Offering
Readers might recall that in August 2019, we reported that the U.S. Securities and Exchange Commission (SEC) was taking enforcement action against Ontario-based crypto-currency issuer Kik Interactive Inc. (Kik), alleging that it had made an unregistered offering of...