Investment Funds & Asset Management

INVESTMENT FUNDS & ASSET MANAGEMENT

Portfolio managers, investment fund managers and dealers operate in a fast-paced marketplace governed by a myriad of complex rules and regulations. This dynamic demands hands-on legal knowledge and practical advice to encourage success in a competitive environment.  McMillan’s Investment Funds and Asset Management (IFAM) team is highly regarded for the depth of its expertise, at both transactional and regulatory levels, as well as in related practice areas including regulatory affairs, derivatives and tax.

We provide business-critical legal solutions and consultation services to Canadian and foreign financial institutions, fund managers, portfolio managers, dealers and service providers, helping them prepare, adapt and satisfy their regulatory obligations while taking a proactive approach to running their business.

As a leading investment funds and asset management law firm, McMillan has been called upon to represent some of the largest and most innovative players in market and to represent portfolio companies in a wide variety of industries.

McMillan helps clients by evaluating investment and acquisition proposals; advising target companies; structuring acquisitions and investments; negotiating and drafting acquisition and financing agreements; negotiating joint venture and co-investment arrangements; advising private equity funds and portfolio companies on day-to-day management issues, including restructurings, refinancing, employment matters and management incentives; and assisting with exit strategies, including sales, IPOs or recapitalizations.

INVESTMENT DEALERS INDUSTRY

Canadian Investment dealers are overseen by the Industry Regulatory Organization of Canada (IIROC) and the Canadian Securities Administrators. IIROC sets industry standards and has quasi-judicial powers, with the power to hold compliance hearings and suspend, fine or expel members for misconduct.

McMillan’s team of Industry lawyers are known and highly regarded for their expertise in the laws that govern the investment management industry, and for their understanding of the potential roadblocks that investment dealers may face.

McMillan helps investment dealers in the Canadian marketplace succeed by advising on structuring, tax, compliance, marketing, and ongoing operations in connection with public and private offerings of securities; advising on regulatory requirements that govern securities trading and advisory activities; responding to compliance inquiries and representing clients before regulators, if necessary; assisting with the establishment, merger, acquisition or restructuring of investment dealers or specific products and services; and advising on compliance with anti-money laundering and privacy laws.