John E. Hall  


Executive Summary

John Hall is a partner at the Toronto office of Borden Ladner Gervais LLP, and the National Leader of the Firm's Investment Management Group.

John practises corporate law with emphasis on securities law and, in particular, issues relating to mutual funds, closed-end funds and other pooled vehicles, and the distribution of such products to retail and exempt purchasers. He advises Canadian and foreign fund managers, investment advisors and distributors on the full range of legal issues relating to the administration of retail mutual funds and exempt pooled funds and hedge funds in Canada and the offering of their securities in public offerings and private placements. He also advises with respect to issues relating to exchange traded funds (ETFs) and closed-end investment funds listed on the Toronto Stock Exchange. John is also a recognized authority on compliance, fund governance, sales practices and advertising issues.

Representative Work

  • Has extensive experience in advising on a wide range of compliance, fund governance, investment fund manager, adviser and dealer registration and registration exemption, sales practices, and advertising issues.
  • Deals extensively with issues relating to managed accounts.
  • Frequently consulted with respect to creative bundling of services and products to ensure their compliance with applicable legislation.
  • Has been lead counsel in numerous acquisitions and divestitures of fund companies, fund assets and dealer companies and in complex corporate reorganizations of complexes involving multiple corporate securities registrations.
  • Engages extensively in issues relating to custody, brokerage arrangements, and dealer-client documentation.
  • Advises with respect to the use of derivatives in pooled vehicles.
  • Has obtained novel exemptive relief from a wide variety of prospectus, dealer registration, conflict of interest and other compliance requirements in the securities legislation of the 13 Canadian jurisdictions and from the applicable self-regulatory organizations.
  • Advises insurance industry participants with respect to segregated funds and other money management issues.
  • Has extensive experience in creating multi-jurisdictional fund structures.
  • Involved in the first income trust used to finance deferred charge selling commissions.
  • Advised with respect to the first 'merger' of commission financing limited partnerships into a larger Toronto Stock Exchange listed limited partnership.

Publications & Presentations

  • Co-Author, Canadian chapter, Multijurisdictional Guide 2012 — Investment Funds (and several previous editions), Practical Law Company.
  • Speaker, "Mutual Fund Fees (Jones v. Harris)," Investment Funds Institute of Canada/Hennick Centre For Business and Law, February 2010.
  • Speaker, "Investor Protection at What Cost?," International Bar Association 24th Annual Conference on the Globalization of Investment Funds, June 2013
  • Speaker at industry seminars on investment fund, fund governance and distribution topics, including Langdon Hall Investment Funds Forum, BLG Investment Management client seminars and Independent Review Inc. fund governance presentations.

Rankings & Recognitions

  • Recognized as "Mutual Funds Lawyer of the Year – Toronto" in the 2019 edition of The Best Lawyers in Canada®.
  • In every edition of The Canadian Legal Lexpert® Directory (Investment Funds and Asset Management - Most Frequently Recommended) since 2008.
  • Recognized in the 2019 edition (and since inception in 2016) of Chambers Canada — Canada's Leading Lawyers for Business (Investment Funds - Band 1).
  • Recognized in every edition of The Lexpert®/American Lawyer Guide to the Leading 500 Lawyers in Canada (Investment Funds and Asset Management) since 2008.
  • Selected by peers for inclusion in the 2019 edition (and since 2006) of The Best Lawyers in Canada® (Mutual Funds Law, Securities Law) and Mutual Fund Lawyer of the Year 2010 and again in 2017.
  • Recognized as a 2019 Acritas Star
  • Martindale-Hubbell® AV® Preeminent™ 5 out of 5 Peer Review Rated.