As the Chief Legal Counsel of AUM Law, Kim leads the team of professionals at the firm and advises on all aspects of registrant regulatory compliance. With over 25 years of legal experience, Kim specializes in registration regulation, regulatory policy and investment funds.
Kim’s experience includes advising clients on a broad range of regulatory and compliance issues involving registered dealers, advisers and investment fund managers. She has also advised domestic and international issuers on the formation and compliance requirements for various types of investment vehicles. Kim has expertise advising on continuous disclosure obligations, unit holder communications, fund governance matters and other general securities and corporate law matters impacting registered firms.
Kim is recognized by clients for her professionalism, practical and inspired advice, leadership and broad strategic expertise in her field. Kim is involved in all aspects of AUM Law, from professional advice to innovations in providing cost-effective compliance services to operational firm management.
Kim is principally responsible for the content of the widely read monthly bulletin of recent developments released by AUM Law.
- JD, Osgoode Hall Law School, 1996
- McMillan LLP, 1996–2014
Recent Speaking Engagements
- Speaker, “Intensive Course in Canadian Securities Law and Practice”, Osgoode Professional Development, June 2019
- Speaker, “Intensive Course in Canadian Securities Law and Practice”, Osgoode Professional Development, October 2016
- Canadian Association of Alternative Strategies and Assets, Member Advisory Panel, 2019 – present
Awards & Recognitions
- Recognized in the 2024 edition of The Best Lawyers in Canada® (Mutual Funds Law)
- Recognized in the 2023 edition (and since 2022) of The Canadian Legal Lexpert® Directory (Investment Funds and Asset Management)