Matthew Williams

Matthew P. Williams  

Partner

Executive Summary

Matt Williams is a partner in the Securities and Capital Markets Group of the Toronto office of Borden Ladner Gervais LLP. Matt practises securities and corporate law, exclusively in the areas of investment management, registrant registration & compliance and hedge/pooled funds.

Prior to joining BLG, Matt was Legal Counsel in the General Counsel's Office at the Ontario Securities Commission (OSC). In 2010, Matt was seconded to BMO Financial Group as Legal Counsel in the Investment Funds and Global Asset Management department.

In 2012, Matt was seconded to the Compliance and Registrant Regulation branch of the OSC as Legal Counsel.

Representative Work

  • Advising foreign and Canadian advisers, dealers and fund managers with respect to registration and ongoing securities compliance matters.
  • Advising both offshore and domestic hedge and private equity funds on the sale of their product in Canada and the regulatory aspects of private placements.
  • Matt has extensive experience in obtaining registrations for advisers, dealers and fund managers in all provinces and territories of Canada, from start-up hedge funds to global asset managers with over a trillion dollars in AUM.
  • Acting in all aspects of the formation, organization and maintenance of hedge funds and other pooled fund products, along with their management companies.
  • Advising both foreign and domestic entities on matters relating to carrying on business in Canada and registration under securities legislation. He also regularly provides advice on the regulatory aspects of mergers and acquisitions.

Publications & Presentations

  • ​Co-Author, "Canadian Securities Regulators Finalize New Requirements for Canadian Registrants​," BLG Investment Management Bulletin, August 2017.​​
  • ​Speaker, "Canadian Hot Topics - You might have a Canadian issue if…", National Society of Compliance Professionals (NSCP) – 2016 National Meeting, October 2016.
  • Speaker, "Changing the Status Quo? Proposed CSA "Targeted" Reforms on Best Interest Standard," Toronto, June 2016.
  • Author and Local Counsel Contact for Canada for Open-End, Hedge & Private Equity Funds, Separately Managed Accounts and Stakeholder Disclosure, Dechert's "World Compass" database.
  • Speaker, "Exempt Market Dealer Compliance", Strategy Institute - 9th Annual Conference on Registrant Regulation, Conduct and Compliance, April 2016
  • Co-Panelist, "What to Expect When You're Expecting a Compliance Audit", AIMA Canada, February 2016 (with Jonathan L. Doll).
  • Author, "Ensuring Regulatory Compliance in the Sale of Foreign Private Equity and Hedge Funds into Canada", October 2015.
  • Speaker, "Operational and Compliance Considerations for New and Emerging Managers," AIMA Canada, October 2015.
  • Speaker, "Regulatory Spring Fever in the Exempt Markets", Toronto, May 2015.
  • Author, "So You Have a Canadian Client for Your Funds - Now What?", NSCP Currents, the newsletter of the National Society of Compliance Professionals (NSCP), March 2015.
  • Speaker, "Things you need to know when doing business across the world's longest undefended border," U.S. Association of Registration Management (ARM) - Annual Compliance Conference, March 2015.
  • Speaker, "Canadian Regulatory Update - A Snapshot", EVIV Group, February 2015.
  • Speaker, "Preparing for CRM-2", Canadian Institute Capital Markets Regulatory Priorities Conference, January 2015.
  • Author, "Disclosing "Outside Business Activities" – OSC Amnesty Deadline Ends March 27, 2015," BLG Investment Management Bulletin, January 2015 (with Laurie J. Cook and Michael Taylor).
  • Presenter, 'How to market your fund to Canadian investors', HFMWeek webinar, November 2014.
  • Author, "Significant Amendments to National Instrument 31-103 Finalized", BLG Investment Management Bulletin, October 2014 (with Prema Thiele, Rebecca Cowdery, and Scott McEvoy).
  • Author, “Distributing Hedge Funds in Canada,” HFMWeek Magazine, August 2014.
  • Author, "Chapter Three: Registration in Canada," How to Start and Grow a Successful Hedge Fund in Canada, ISI Publications, August 2014 (with Prema Thiele and Laurie Cook).
  • Speaker, "CRM-2 Workshop," Strategy Institute - 7th Annual Conference on Registrant Regulation, Conduct and Compliance, April 2014.
  • Author, "Marketing and Selling Hedge Funds in Canada," HFMWeek Compliance Database.
  • Speaker, "Cross Border Issues for Canadian and U.S. Broker-Dealers", 2nd Biennial Ontario-New York Legal Summit, New York State Bar and Ontario Bar Associations, March 2014.
  • Speaker, “CRM Phase 2”, Investment Industry Regulatory Organization of Canada (IIROC) Annual Compliance and Legal Section Conference, December 2013.
  • Speaker, “CRM-2: What you need to know – NOW”, Toronto, November 2013.
  • Speaker, “Operational and Compliance Considerations for New and Emerging Managers", AIMA Canada, October 2013.
  • Speaker, "CRM-2 – Enhanced account level disclosure and investment performance reporting… or how I learned to hate client statements", Federation of Mutual Fund Dealers 6th Annual Education Day, September 2013.
  • Speaker, "CRM-2 – What you need to know", Toogood Financial Systems 2nd Annual Users Group Meeting, September 2013.
  • Speaker, "What You Should Know in the Face of Consolidation in the Securities Industry", Toronto, June 2013.
  • Speaker, "What You Should Know in the Face of Consolidation in the Securities Industry", Montreal, May 2013.
  • Speaker, "How to Improve Your Handling of Compliance Deficiencies", Strategy Institute - 6th Annual Conference on Registrant Regulation, Conduct and Compliance, April 2013.
  • Author, "Two Distinct Regulatory Approaches for Non-Resident Investment Fund Managers Finalized in Canada", BLG Investment Management Bulletin, July 2012 (with Prema Thiele, Rebecca Cowdery, Laurie Cook and Marsha Gerhart).
  • Chapter Editor, "Exemptions from Registration" chapter, Securities Law & Practice, 3rd Edition, Carswell and BLG.
  • Author, "Chapter: Registration in Canada," How to Start and Grow a Successful Hedge Fund in Canada, ISI Publications, 2011 (with Prema Thiele and Laurie Cook).
  • Presenter at industry conferences organized by The Canadian Institute and Strategy Institute.
  • Author/Contributor to various client alerts on the topics of registrant registration, compliance and hedge funds.