Jason’s practice is focused on registration and securities compliance matters for portfolio managers, investment fund managers, exempt market dealers, family offices and crowdfunding platforms. Over the course of his 20+ year career as a securities lawyer, Jason has directly worked with numerous firms on building their business and obtaining appropriate registrations and enhancing their culture of compliance.
Jason works with CEOs, CCOs and other executives to help firms meet their ongoing compliance obligations as registrants. Jason regularly assists clients to prepare for and navigate through the OSC’s regulatory audit process and is often called upon to advocate his clients’ positions to the OSC and other provincial securities regulators. Jason’s practice also includes providing counsel to AUM Law clients on related topics such as compliance with Canada’s anti-money laundering legislation, cybersecurity requirements, the protection of confidential personal information and compliance with Canada’s anti-spam laws. Jason is also experienced in providing counsel in respect of Canadian and cross-border private placements.
Prior to joining AUM Law in 2017, Jason spent numerous years working with a large Canadian law firm as a securities and transactional lawyer. In addition to advising clients about all aspects of the securities regulatory regime involving National Instrument 31-103, Jason also assisted on multiple public securities offerings and M&A transactions.
Jason is an accomplished presenter at industry and firm client events and provides lively and educational training events for AUM Law clients on various securities law topics.