Rebecca A. Cowdery

Practice Details

• Firm Information
  Position

  Partner

  Firm Name

  Borden Ladner Gervais LLP
• Representative Cases & Transactions
  Cases

  Representative Work: Regularly consults with Canadian
  international industry participants on a wide range of governance, sales practices, marketing, private placement
  regulatory compliance matters.
  Extensive experience in working with fund managers to establish, manage
  distribute investment funds.
  Extensive experience in working with registrant firms to improve their compliance systems through, among other things, providing assistance in preparing policies
  procedures, advice in testing compliance systems, conducting mock compliance audits
  working with registrant firms to respond appropriately to regulatory compliance audits
  surveys.
  Works with industry participants to obtain relief from regulatory requirements through novel
  practical exemption applications.
  Acted as regulatory counsel to the RESP Dealers Association of Canada (2008-2015)
  regularly participates in committees of the Portfolio Management Association of Canada, The Investment Funds Institute of Canada
  the Investment Industry Association of Canada.
  Has recognized expertise in investment management public policy, regulation
  practice. Rebecca was at the forefront of all major investment fund regulatory reform initiatives during her tenure at the OSC. Her responsibilities while at the OSC included: Leading the Canadian Securities Administrators policy projects to update
  reform mutual fund regulation. This work included creating
  implementing the national instruments dealing with mutual fund prospectus disclosure (81-101), mutual fund operations
  management (81-102), commodity pools (81-104)
  mutual fund sales practices (81-105).
  Authoring, as principal author, the CSA concept proposal Striking a New Balance: A New Framework for Regulating Mutual Funds
  their Managers
  working after its publication in March 2002 to develop draft rules to regulate fund governance.
  Leading the Canadian Securities Administrators work to harmonize the regulation of mutual funds
  segregated funds.
  Leading the Ontario, Alberta
  British Columbia securities commissions work to create
  recognize the Mutual Fund Dealers Association of Canada as a self-regulatory organization.