Julie Mansi

Julie Mansi  

Partner

Executive Summary

Julie Mansi is a partner in the Toronto office of Borden Ladner Gervais LLP. A corporate lawyer in the Securities and Capital Markets Group, she focuses on registrant regulation and compliance, investment management, commercial transactions, mergers and acquisitions. Julie is also a member of the Derivatives, Mergers and Acquisitions, Investment Management and Corporate Governance groups.

Julie has considerable experience in advising derivatives and securities market participants on Canadian dealer and advisor registration requirements and compliance and risk management. She has assisted US, UK and Canadian broker/dealers and futures commission merchants, commodity trading advisers, foreign exchange dealers, physical metal brokers, domestic and foreign asset managers in navigating the Canadian registration and compliance regime.

In addition to her regulatory practice, Julie has an active mergers and acquisitions practice which spans several industry sectors from securities and insurance participants to dealers in the automotive industry.

Julie was both a summer student and an articling student with the Firm before returning as an associate. She has also worked in the Canadian Embassy in Warsaw, Poland, and was a market research analyst for several Canadian companies in Eastern Europe.

Representative Work

  • Advising and preparing applications on behalf of foreign and domestic investment advisers and dealers in respect of carrying on business in Canada and registration under provincial securities legislation.
  • Advising on regulatory proposals and participating on industry committees on behalf of investment dealers and futures commission merchants on topics such as high frequency and algorithmic trading, proprietary trading activities, direct electronic access and presence of unregulated entities in the Canadian market.
  • Advises on derivatives matters and the related documentation, with particular experience on the use of derivatives by risk management firms, investment fund managers and other regulated entities.
  • Advising and participating in the distribution of novel over-the-counter derivative products such as contracts for difference (CFDs) and foreign exchange (FX) to investors in Canada and provision of agricultural risk management products to Canadian commodity producers.
  • Conducted independent audits of and advised securities registrants on designing and assessing governance structures and compliance procedures, and strengthening compliance capability.
  • Conducting continuing education seminars for adviser and dealer clients on topics such as anti-money laundering and terrorist financing.
  • Advising and participating in corporate reorganizations, acquisitions, mergers and divestitures for both closely and widely held corporations.
  • Seconded to Ontario Securities Commission, Registrant Legal Services Division and Mergers & Acquisitions, Take-Over Bids Division.

Publications & Presentations

Presentations

  • "Derivative Insights for End-Users, Asset Managers and Other Market Participants," Over-The-Counter Derivatives Reform, INFONEX, April 2015.
  • "Derivatives with Terry Arbit," Fundamentals of US Securities Law - What Canadian Lawyers Need to Know, Osgoode Hall Law School, March 2015.
  • “Practical Impact of Canadian OTC Derivatives Rules on End-Users and Unregistered Participants,” Over-The-Counter Derivatives Reform, INFONEX, May 2014.
  • “MFDA 2014 Compliance Initiatives,” Independent Financial Brokers Spring Summit, May 2014.
  • “Regulation of Over-The-Counter Derivatives: Adding to Your To Do List,” 7th Annual Focus Event on Registrant Regulation Conduct & Compliance, Strategy Institute, May 2014.
  • “Moving Into Managed Futures,” Alternative Investment Management Association, April 2014.
  • “Canadian OTC Derivatives Reform,” Panel Discussion with Kevin Fine, Director of Derivatives from Ontario Securities Commission, April 2014.
  • "Operational Risk Management 101: What You Need to Know as a Compliance Officer Workshop and Business Continuity Planning: How to Most Effectively Design and Test Your Business Continuity Plan," 14th Annual Compliance & Risk Management Strategies for Portfolio Managers and Fund Managers Summit, June 2012.
  • "Social Media: A Compliance Primer," Strategy Institute's 13th Annual Compliance & Risk Management Strategies for Portfolio Managers and Fund Managers, May 2011.
  • "Contracts for Difference and Foreign Exchange Contracts," Law Society of Upper Canada's Securities Law Update 2010.
  • "The Year After: The Canadian Registration Regime," Independent Financial Brokers Toronto Fall Summit, November 2010.
  • "Registration Reform And The Quebec Derivatives Act: Understanding the Implications for Ontario and Quebec," Strategy Institute's 6th Annual Summit On Implementing Registration Reform, September 2009.

Publications

Rankings & Recognitions

  • Recognized as a "Corporate Lawyer to Watch" in the 2015 edition of The Lexpert® Guide to the Leading US/Canada Cross-Border Corporate Lawyers in Canada.