Sarah Gardiner

Sarah Gardiner  

Partner

Executive Summary

Sarah Gardiner is a partner in the Toronto office of Borden Ladner Gervais LLP. A corporate, commercial and securities lawyer in the Securities and Capital Markets Group, Sarah specializes in investment funds, investment management, alternative asset management, securities regulation and registrant compliance.

Sarah has been seconded to the Ontario Securities Commission as Legal Counsel in the Registrant Regulation Branch, and also to a leading wealth management company where she provided day-to-day legal advice on regulatory and corporate issues.

As part of her law studies, Sarah spent a semester on exchange at Hong Kong University and has also spent time living in Japan.

Representative Work

  • Advising investment fund managers, portfolio managers and dealers on legal issues relating to the establishment and administration of investment funds and other securities.
  • Preparing offering documents relating to the exempt distribution of Canadian and offshore pooled funds and hedge funds.
  • Advising securities industry participants on compliance with corporate and securities laws, rules and policies, including fund governance, sales and advertising issues.
  • Advising public companies with respect to reporting obligations and corporate governance matters.
  • Advising on and preparing applications for registration of, and exemption filings for, domestic and foreign investment fund managers, portfolio managers and dealers under provincial securities legislation.
  • Drafting and reviewing commercial agreements and regulatory filings.
  • Providing legal advice in respect of insurance and mortgage broker regulatory issues.
  • Acting for issuers and underwriters in connection with public and private financings, and for closed-end fund investment funds in connection with IPOs.

Publications & Presentations

  • Co-Author, "CSA's Proposed Harmonized Report of Exempt Distribution," BLG's Securities and Capital Markets Bulletin, October 2015.
  • Contributing Author, "How to Start and Grow a Successful Hedge Fund in Canada," ISI Publications, 2014.
  • Co-Author, "Hedge Fund Managers: It's Time Again for Your Annual Compliance Check-Up", Canadian Hedge Watch, September 2014.
  • Co-Author, "Hedge Fund Managers: Your 2013 Annual Compliance Check-Up – Quick Tips On Doing A Self-Diagnosis," BLG's Investment Management Bulletin, September 2013.
  • Speaker, “National Instrument 31-103 – What’s New?” Joint PwC/SGGG/BLG Seminar, September 2013.
  • Speaker, “CRM-2: Report on Charges and Other Compensation/Investment Performance Reporting”, BLG Roundtable, June 2013.
  • Contributing Author, "Hedge Funds: A Practical Global Handbook to the Law and Regulator," Globe Law and Business, 2012.
  • Co-Author, "Canadian Securities Regulators Renew Focus on Registrant Compliance: The New Normal – Being Review Ready," BLG's Investment Management Bulletin, June 2012.
  • Speaker, "Regulatory Update (for Alternative Asset Managers)," AIMA Canada Seminar, May 2012.
  • Speaker, "Exempt Market Review," BLG Breakfast Seminar: Focus on Hedge Funds and Other Private Funds, April 2012.
  • Speaker, "U.S. Regulatory Changes and the Impact on Canadian Hedge Funds," TD Prime Brokerage Seminar, May 2011.
  • Speaker, "Canadian Hedge Fund Managers: Impact of Non-Canadian Regulatory Developments," BLG Breakfast Seminar: Focus on Hedge Funds, March 2011.
  • Chapter Editor, “Registration” chapter, Securities Law & Practice, 3rd Edition, Carswell and BLG.