British Columbia (1995)
As President of AUM Law, Erez leads a team of lawyers focused on serving the asset management sector in the areas of regulatory compliance, investment funds and corporate law.
Before joining AUM Law, Erez held legal, management and executive roles in the Corporate Finance and Compliance and Registrant Regulation Branches of the Ontario Securities Commission (OSC). He managed the OSC team responsible for the implementation of the new cross-Canada registration regime that came into force in September 2009 (NI 31-103). He later served as Deputy Director and Acting Director of Compliance and Registrant Regulation, in which capacity he was closely involved in the creation of an in-branch team solely dedicated to handling registrant misconduct cases, and in the development of a regulatory framework for administering the significant features of the new regime, including suspension of registration by the Director. During his time at the OSC, Erez led several major Ontario and cross-Canada policy initiatives, including those relating to Sarbanes-Oxley (SOX) and NI 45-106 Prospectus and Registration Exemptions (which introduced the accredited investor exemption across Canada), and chaired the Canadian Securities Administrators (CSA) Working Group on Asset Backed Commercial Paper that authored Securities Regulatory Proposals Stemming from the 2007-08 Credit Market Turmoil and its Effect on the ABCP Market in Canada. He was also chair of the CSA committee on Principal Protected Notes.
Erez has written a range of legal decisions involving the imposition of regulatory sanctions, from terms and conditions on registration to the suspension of a registrant’s license.
- LLB, University of British Columbia Law School (1994)
- BA, York University (1991)
- Ontario Securities Commission (1999–2013)
- Stikeman Elliot LLP (1995–1999)
- Attorney General of British Columbia (1994–1995)
Selected, Recent Speaking Engagements
- Osgoode Professional Development – Intensive Course in Canadian Securities Law and Practice, June 19, 2019
- Registrant Regulation Conduct and Compliance Conference, May 3-4, 2018
- Osgoode Professional Development – Intensive Course in Canadian Securities Law and Practice, October 19, 2016
- Full interview in “2016 CRM2 Guide – Q&A: Clear and open” Investment Executive, October, 2016
- TDSI Canadian Hedge Fund COO Summit, October 19, 2016
- World Alternative Investment Summit Canada (WAISC), September 8-9, 2016
- Registrant Regulation Conduct and Compliance Conference, April 27-28, 2016
- National Society of Compliance Professionals (NSCP) Canadian Conference, April 4, 2016