Cases
Representative Work: Structures
reviews pension plan texts
drafts plan documentation, reviews
drafts statements of investment policies
procedures, investment management agreements
other service provider agreements for pension plans.
Provides advice on pension investment restrictions
investment structuring, ESG considerations,
investment compliance regulatory matters.
Advises both Canadian
foreign investment fund managers
portfolio managers in respect of the establishment
ongoing operations of investment funds, including retail mutual funds, hedge funds
other alternative investment vehicles.
Provides advice to advisors, dealers (including IIROC member firms)
investment fund managers on compliance systems, policies
procedures, regulatory checklists
other compliance tools for meeting Canadian securities requirements
pension investment rules.
Provides advice on registration matters
ongoing registrant regulation
AML rules.
Represents
advises portfolio managers, investment fund managers
mutual fund dealers on securities regulatory, AML, FINTRAC
IIROC compliance field reviews
examinations.
Acts for Asia Pacific-based asset managers
advises Canadian fund companies on inbound investments to China.
Seconded as in-house counsel to INVESCO during its merger with Trimark.