Our Registrant Regulation and Compliance Practice is the largest practice of its kind in Canada, with recognized experts in this field. We work with Canadian and international advisers (portfolio managers and investment counsel), fund managers and dealers, including SRO members and exempt market dealers.

We provide a full range of legal services, including advice and assistance on becoming and continuing to be registered with the Canadian securities regulators and/or members of the SROs. Our services for our clients have included developing and designing, as well as reviewing and assessing, compliance procedures and practices relating to regulatory and internal policy requirements, assisting in building or strengthening compliance capability, conducting audits and investigations, identifying operational problems and devising appropriate solutions and responding to regulatory developments. We also provide advice on structuring investment funds and offerings of investment funds, including hedge funds, pursuant to private placements and public offerings within Canada to comply with Canadian securities laws.

We act for the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada and are pleased to assist The Investment Funds Institute of Canada, the Portfolio Management Association of Canada and the Investment Industry Association of Canada, along with other industry trade associations from time to time. We have excellent working relationships with the Canadian securities regulators and other government officials.

Please contact any of the following lawyers if you have any questions about National Instrument 31-103 and its application to your business.

Prema K.R. Thiele
Toronto
416.367.6082
pthiele@blg.com

Laurie J. Cook
Toronto
416.367.6639
lcook@blg.com

Rebecca A. Cowdery
Toronto
416.367.6340
rcowdery@blg.com

Marsha  P.  Gerhart
Toronto
416.367.6042
mgerhart@blg.com

H. Scott McEvoy
Toronto
416.367.6117
smcevoy@blg.com

Matthew P. Williams
Toronto
416.367.6261
mwilliams@blg.com

Jason J. Brooks
Vancouver
604.640.4102
jbrooks@blg.com

Louise K. Lee
Calgary
403.232.9408
lolee@blg.com

Fred Enns
Montréal
514.954.2536
fenns@blg.com


* Including “CRM-2 amendments” in force July 15, 2013


type National Instrument 31-103 at a Glance (Revised!*)