Chris’s practice focuses on registrant regulatory compliance, as well as compliance related to the management, distribution and operations of investment funds. As part of his regulatory compliance practice, Chris is experienced in guiding prospective registrants through the registration process with securities regulators. He provides existing registrants including portfolio managers, investment fund managers, exempt market dealers, family offices and managers of mortgage investment entities with ongoing advice to help them comply with securities legislation and remain informed of evolving regulatory trends and expectations. Chris also has experience in assessing the effectiveness of clients’ anti-money laundering compliance systems.
As part of his investment funds compliance practice, Chris advises clients on the requirements of operating collective investment vehicles such as real estate investment funds (REITs), private pooled funds, mortgage investment corporations (MICs) and other mortgage investment entities. He also advises clients on the legal and regulatory implications associated with the offering and distribution of the securities of such entities in Canada, including their ongoing client reporting and regulatory filing requirements.
Prior to joining AUM Law in 2017, Chris worked for over 16 years in the legal department of a large investment management firm and was most recently Vice-President, General Counsel and Secretary. Chris provided extensive advice on public and private fund formations and maintenance, compliance, corporate governance, mergers and acquisitions, and general commercial matters. Chris was previously legal counsel at a another investment management firm, prior to its acquisition.
Chris began his legal career as an associate with Bay Street law firms in their corporate and securities law groups where he provided advice on corporate finance, mergers and acquisitions and various other general corporate commercial and securities law matters.