Chris’s practice is focused on investment funds and regulatory compliance. He assists registrants with launching private, pooled funds by providing legal advice and preparing agreements and documentation, including partnership agreements, trust agreements, declarations of trust, offering memoranda, term sheets and subscription documents.

As part of his regulatory compliance practice, Chris advises fund managers and dealers on their ongoing obligations under Canadian securities legislation and can assist firms with applications to securities regulators for exemptive relief. He also drafts compliance manuals, updates existing manuals and provides advice regarding investment management agreements for separately managed accounts. Chris also has drafted cyber-security policies and procedures. He has in-depth knowledge of registrants’ obligations under anti-money laundering (AML) legislation and conducts mock audits for clients in that space.

Chris also advises managers of public mutual funds and regularly performs the amendment, renewal and/or filing of their public documentation, including their management reports of fund performance, prospectuses, fund facts, and annual information forms.

Before joining AUM Law, Christopher was Junior Counsel in the Canadian Department of Finance, where he participated in drafting legislation for the Cooperative Capital Markets Regulatory Framework (CCMR).

PROFESSIONAL BACKGROUND

Department of Finance (Canada) (2015)

Fogler Rubinoff LLP (2013-2014)

BAR ADMISSION

Ontario (2014)

EDUCATION

JD, Queen's University, 2013

PUBLICATIONS

"Revisiting Integration in the Dividend Refund Context," Canadian Current Tax, Vol. 25, No. 9. (June 2015)

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