We assist portfolio managers, exempt market dealers and investment fund managers with:
- Applying for and maintaining registration with the Ontario Securities Commission
- Compliance with know your client (KYC), suitability and conflicts of interest rules
- Exemptive relief applications
- Developing and updating compliance policies and procedures
- Regulatory compliance reviews
- Formation, management and administration of mutual funds, limited partnerships and other pooled investment vehicles
- Private placements of securities, including preparation of offering memoranda
- Continuous disclosure obligations