Cases
Representative Work
Christian has extensive experience with registration issues
regulatory compliance matters relating to securities dealers
advisors,
he regularly represents such entities before regulatory
self-regulatory securities industry authorities
/or organisations. He advises portfolio managers
investment fund managers regarding legal issues dealing with the establishment, offering
administration of investment funds (retail
pooled). He has acted as counsel on behalf of investment fund managers in the context of the reorganisation of mutual fund groups. Christian has also advised investment dealers, portfolio managers, exempt market dealers, investment fund managers
mutual fund dealers in connection with the merger or acquisition of registrants
fund distribution businesses. He has acted as counsel to registrants in connection with their initial public offerings (IPOs). He acts as counsel in the constitution
maintenance of offshore investment funds. He advises foreign registrants on offering their services in Canada. Christian regularly provides training
advice on compliance issues impacting securities registrants, including providing assistance with the preparation of policies
procedures
risk management systems,
preparing for
responding to issues arising in connection with regulatory compliance audits
surveys. He has acted for industry participants in merger
acquisition transactions, including sales
purchases of mutual fund businesses, high net worth advisory businesses,
IIROC
MFDA members. He has dealt extensively with issues relating to institutional
high net worth managed account businesses
m
ates. Christian is proficient in issues relating to custody, brokerage arrangements
distribution networks. He has obtained novel
group exemptive relief from various securities law requirements. He has acted as counsel to issuers
syndicates of underwriters on public
private offerings of equity
debt. He has acted on behalf of reporting issuers in the context of takeover bids
issuer bids, as well as for corporations
independent committees undergoing private transactions (business combinations). He advises banks, financial institutions
businesses on financial services law, including law dealing with insurance
distribution of financial products
services.