Chris’s practice focuses on regulatory compliance and investment funds. As part of his regulatory compliance practice, Chris works closely with exempt market dealers, investment fund managers and portfolio managers. He is experienced in guiding prospective registrants through the registration process with securities regulators. Chris also provides existing registrants with ongoing advice to help them comply with securities legislation and remain informed of evolving regulatory trends and expectations. Chris drafts compliance manuals, updates existing manuals, conducts compliance risk assessments to promote compliance with securities legislation and anti-money laundering legislation, and provides training on various compliance topics. He also assists firms with applications to securities regulators for exemptive relief.
As part of his investment funds practice, Chris advises clients on the formation of investment products, and on the legal and regulatory implications associated with the offering and distribution of securities of such entities in Canada. He also advises managers of public mutual funds and regularly performs the amendment, renewal and/or filing of their public documentation, including annual information forms, prospectuses, fund facts, management reports of fund performance, and financial statements.
Before joining AUM Law in 2015, Chris was Junior Counsel in the Canadian Department of Finance, where he participated in drafting legislation for the Cooperative Capital Markets Regulatory Framework (CCMR).
- JD, Queen’s University (2013)
- BAH (Political Studies), Queen’s University (2010)
- Department of Finance (Canada) (2015)
- Fogler Rubinoff LLP (2013-2014)