Chris’s practice focuses on regulatory compliance and investment funds. As part of his regulatory compliance practice, Chris is experienced in guiding prospective registrants through the registration process with securities regulators. He also provides existing registrants including portfolio managers, investment fund managers, exempt market dealers, family offices, and managers of mortgage investment entities with ongoing advice to help them comply with securities legislation and remain informed of evolving regulatory trends and expectations.
As part of his investment funds practice, Chris advises clients on the formation of investment products including trust and partnership pooled funds, real estate investment funds (REITs), mortgage investment corporations (MICs), and other mortgage investment entities. He also advises clients on the legal and regulatory implications associated with the offering and distribution of the securities of such entities in Canada, including their ongoing client reporting and regulatory filing requirements.
Chris also has experience in assessing the effectiveness of clients’ anti-money laundering (AML) compliance systems.
Prior to joining AUM Law, Chris worked for 16 years in the legal department of CI Investments Inc. and was most recently Vice-President, General Counsel and Secretary. During his time at CI Investments, Chris provided extensive advice on fund formations and maintenance, compliance, corporate governance, mergers and acquisitions, and general commercial matters. Prior to CI Investments, Chris was Legal Counsel at BPI Financial Corporation before it was acquired by CI.
Chris also spent time as an associate with Bay Street law firms in their corporate and securities law groups where he provided advice on corporate finance, mergers and acquisitions and various other general corporate commercial matters.
- MBA, Rotman School of Management (University of Toronto) (2004)
- JD, Queen’s Law School (1995)
- BA (Urban Development), University of Western Ontario, (1992)
- CI Investments Inc. (2000–2016)
- BPI Financial Corporation (1999-2000)
- Donahue & Partners LLP (1998-1999)
- Gardiner, Roberts LLP (1995-1998)
Recent Speaking Engagements
- Portfolio Management Association of Canada (PMAC) Spring Regulatory and Compliance Webcast, May 27, 2020
- Canadian Association of Alternative Assets and Strategies (CAASA) podcast, “Regulatory Compliance and Operational Issues for Asset Managers to while Operating Remotely during the COVID-19 Pandemic” as part of the series Alternative Thinking: Both Sides of the Investment Coin, available on Spotify and Apple
- HFM Toronto Operational Leaders’ Summit 2018, February 12, 2018