Kathryn M. Fuller  

Partner

Executive Summary

Kathryn Fuller is a partner in the Toronto office of Borden Ladner Gervais LLP. She practises corporate, commercial and securities law, with an emphasis on the investment management industry. She is a member of the Securities and Capital Markets Group and the Investment Management Group. Kathryn advises Canadian investment fund managers, dealers and investment advisors on legal issues relating to the establishment and administration of investment funds. She also advises international investment fund managers and advisors on offering and advising investment funds in Canada. She assists fund managers with the creation of their independent review committees and with drafting conflict of interest policies and procedures, as well as providing on-going advice to investment management industry participants on registration and compliance issues. Kathryn currently sits on the Legal and Compliance Committee at the Investment Funds Institute of Canada (IFIC) and has sat on various other IFIC committees.

Representative Work

  • Preparing offering documents and continuous disclosure documents relating to retail mutual funds.
  • Preparing offering documents relating to the exempt distribution of pooled funds and hedge funds.
  • Registering securities industry participants as dealers, advisors and investment fund managers in Canada.
  • Advising securities industry participants on compliance with corporate and securities laws, rules and policies relating to the investment management industry, including fund governance, sales and marketing issues.
  • Advising investment fund managers on fund mergers and other fundamental fund changes.
  • Providing regulatory advice on merger and acquisition transactions involving investment management industry participants.
  • Seconded to a major mutual fund company.

Publications & Presentations

Rankings & Recognitions

  • Recognized as a 2017 Acritas Star.
  • Recognized in the 2017 edition of Chambers Canada Canada's Leading Lawyers for Business (Investment Funds).
  • In every edition of The Canadian Legal Lexpert® Directory (Investment Funds and Asset Management) since 2013.
  • Received "Rising Stars" award from Lexpert®, 2011.
  • Recognized as a "Lawyer to Watch" by Lexpert®, 2012.