Find Lawyers in Canada for Mutual Funds Law
Practice Area Overview
A mutual fund may be structured as a trust, a limited partnership or a corporation depending on the tax advantages and switchability features that may be desired. A mutual fund may also be listed on an exchange which offers its securities to investors on a continuous basis through qualified dealers (e.g., an exchange traded fund). Other types of funds also may be offered to investors (e.g., segregated funds), including over an exchange (e.g., closed end funds), but based on their features are not a mutual fund.
Mutual funds typically have a manager who administers the mutual fund, a portfolio manager who makes the investment decisions on behalf of the mutual fund, a custodian who holds the assets of the mutual fund, and a dealer who sells the securities of the mutual fund to investors. The securities administrators in each province and territory of Canada regulate mutual funds in terms of what a mutual fund can do, who can be a manager, portfolio manager, and/or dealer that acts for the mutual fund, and what type of offering documents the mutual fund must give investors. Although these requirements have generally been harmonized across Canada, there are regional differences that may impact how a mutual fund is offered in a particular province or territory.
Lawyers involved with mutual funds must have a thorough understanding of the applicable securities laws, including both national and local instruments, and understanding which laws apply to which type of mutual fund and what requirements apply to each person who is involved in running a mutual fund. Mutual fund lawyers are often involved in advising clients about how a mutual fund should be structured, what requirements will apply initially and on an ongoing basis, including all relevant compliance issues, and who the mutual fund can be offered to.
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Anil Aggarwal regularly acts as counsel to investment funds, dealers, and managers, where he advises such clients on the manufacturing, structuring, distribution and management of both Canadian private and public and offshore investment vehicles. Anil is frequently enlisted to advise on new fund launch strategy, and has drafted a wide range of material agreements for clients, including trust, management, advisory, sub-advisory and distribution agreements. In addition to work with mutual fund ...
François Brais is the firm’s Managing Partner for the Québec Region. He oversees all strategic activities and heads a team of over 300 lawyers. François brings a very current perspective to the industry, focusing on cooperation, developing the next generation and fostering continuing education. His approach aims at ensuring Fasken’s client service excellence and the efficiency of our processes, such as by keeping abreast of the latest technological development...
Mike Coburn is a tax Partner in Vancouver. His practice includes advising Canadian and international clients on a broad range of tax matters. Clients look to Mike for his extensive experience with a myriad of tax issues including tax implications and structuring of mergers and acquisitions, corporate reorganizations, financings and other business transactions.
Stephen Erlichman has practiced corporate and securities law throughout his career at major law firms in New York and Toronto. Steve has advised management, boards of directors and shareholders of public and private corporations in various industries, and has been counsel to investment dealers, commercial banks, insurance companies, private equity firms and managers of mutual funds, ETFs, pension funds and hedge funds in connection with public and private acquisitions, reorganizations, public...
Mr. Foster is a partner with the law firm Fasken Martineau and is extensively involved in the investment funds, registration and securities law areas. He actively advises a number of public and private investment funds and has been involved in launching a number of exchange traded funds and structured products. Mr. Foster has created new funds, including hedge funds, drafted trust, management, advisory, sub-advisory and distribution agreements, filed numerous applications for exemptive relief...
Jonathan Halwagi provides counsel in the areas of asset management and investment funds. His practice focuses on the establishment of fund structures with an emphasis on alternative asset management (including private equity, venture capital, infrastructure and lending). He also regularly acts for Canadian and international asset managers, assisting them with their compliance with applicable Canadian securities laws and regulations. Jonathan assists asset managers in their dealings with Canad...
John Kruk’s practice is focused on investment funds and other products and services offered by investment managers. He advises clients on how to set up, market, manage and restructure these products and services. John assists clients with a wide range of investment products and services, whether intended for retail Canadian investors, institutions or anywhere in between. The products range from conventional mutual funds to sophisticated, unique solutions. John also has expertise with le...
Darin Renton is a partner in the Financial Products & Services and Energy – Oil & Gas Groups. His practice focuses on the formation, structuring and distribution of investment funds, including private equity, mortgage, real estate, hedge and closed-end funds, mutual funds, ETFs and flow-through limited partnerships. Darin has structured funds that invest in bitcoin, cryptocurrency, films and litigation. He has significant experience in private equity transactions, mergers and ac...
Ron is a partner at the Firm and head of its Asset Management and Investment Funds Group. Ron practises in the areas of securities, corporate finance and mergers and acquisitions, primarily in relation to the asset management and venture capital industries. Ron believes that providing integrated securities, tax and practical advice helps clients better achieve their commercial objectives while improving investment products for Canadians. Ron is active in all aspects of fund formation having t...
Cathy Singer practises corporate and securities law, with an emphasis on related-party transactions, mergers and acquisitions, corporate finance and corporate governance, including advisory mandates for issuers, investment dealers, managers and independent committees. Ms. Singer also practises and has extensive experience in the area of investment funds, advising on all legal and related aspects for investment management and investment fund clients and assisting clients in navigating the evol...
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