Jason’s practice is focused on registration matters and securities compliance for portfolio managers, investment fund managers, exempt market dealers, family offices, mortgage investment entities and other financial services providers. Over the course of his career, Jason has been the lead lawyer on numerous registration files.
Jason also works regularly with CEOs, CFOs, UDPs and CCOs to help firms meet their ongoing compliance obligations as registrants. Jason regularly assists clients prepare for and navigate through the OSC’s regulatory audit process, and is often called upon to advocate his clients’ positions to the OSC and other provincial securities regulators. Jason’s practice also includes providing counsel to his clients on related topics such as compliance with Canada’s anti-money laundering legislation, cybersecurity requirements, the protection of confidential personal information and compliance with Canada’s anti-spam laws. Jason is also experienced providing counsel in respect of Canadian and cross-border private placements.
Prior to joining AUM Law, Jason spent 17 years with Stikeman Elliott LLP, with the last nine years focused on advising clients about all aspects of the securities regulatory regime involving National Instrument 31-103 and National Instrument 33-109, among other areas. In his first years at Stikemans, Jason assisted on multiple public securities offerings and M&A transactions, and assisted reporting issuers with their ongoing compliance requirements.
- LLB & BCL, McGill University (1999)
- BComm, McGill University (1995)
- Stikeman Elliott LLP (2000-2016)
Recent Speaking Engagements
- Strategy Institute, 2019 Registrant Regulation Conduct & Compliance Conference – “Regulating the Delivery of Advice” (May2019)
- Strategy Institute, 2018 Registrant Regulation Conduct & Compliance Conference – “Senior and Vulnerable Investor Compliance Strategies” (May 2018)