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 act as a trusted advisor to many Canadian and foreign financial institutions, fund managers portfolio managers, dealers, service providers assisting clients in navigating Canada's ever changing complex regulatory scheme, helping clients prepare, adapt and satisfy their obligations so that they can take a proactive approach to running their business.
We routinely work with market participants and regulators with respect to the structuring and offering of investment products to the marketplace. Our lawyers are front and centre assuming leadership roles in key industry groups. This provides us with an unparalleled perspective on—and direct input into—the regulatory and market developments impacting our clients’ businesses.
Our lawyers have experience in relation to a vast array of transactions and ongoing matters including:
- regulatory and compliance advice with respect to investment funds, managers and dealers involved in investment product offerings
- market leader in alternative funds industry area, including structuring new alternative mutual funds pursuant to exemptive relief (final rule to be in force as of January 3, 2019)
- offerings of all forms of pooled (private) funds (both domestic and offshore) on a private placement basis, including master-feeder and tax efficient structures
- linked notes and prospectus-offered Canadian medium-term and structured note programs
- public offerings of conventional mutual funds, closed-end investment funds, other exchange-traded funds and commodity pools
- funds utilizing over-the-counter or exchange-traded derivative products; and alternative investment funds, including hedge funds
- Canadian-based multi-manager funds with foreign investment managers and advisors
- assisting foreign-domiciled investment fund managers access the Canadian institutional market
- fund governance, M&A transactions, financings and reorganizations
- regulatory compliance and advice regarding National Instrument 31-103 Registration Requirements, Exemptions and On-going Registrant Obligations, and understanding MFDA and IIROC member rules; creating and updating compliance policies and rules; and provide guidance on investigations and audits by industry regulators
- fund reporting and compliance matters
November 2020
November 2020
October 2020
September 2020
Capital Markets and M&A Group Bulletin
July 2020
May 2020
Privacy Law Bulletin, Business Law Bulletin
April 30, 2020
Investment Funds and Asset Management Bulletin
March 30, 2020
PMAC Webinar
March 25, 2020
Investment Funds and Asset Management Bulletin
March 23, 2020
March 20, 2020
Restructuring, Bankruptcy and Insolvency Bulletin
March 19, 2020
January 2020
Restructuring and Insolvency Bulletin
December 2019
November 2019
September 2019
Securities and Capital Markets Bulletin
July 2019
July 2019
Securities and Capital Markets Bulletin
June 2019
Intellectual Property Bulletin
May 2019
Securities and Capital Markets Bulletin
May 2019
Investment Funds and Asset Management Group Bulletin
May 2019
Restructuring, Litigation and Business Law Bulletin
April 2019
March 2019
February 2019
February 2019
January 2019
October 2018
Investment Funds and Asset Management Bulletin
October 2018
July 2018
Investment Funds and Asset Management Bulletin
May 2018
May 2018
May 2018
March 2018
Investment Funds and Asset Management Bulletin
February 2018
Securities Litigation Bulletin
December 2017
Investment Funds and Asset Management Bulletin
December 2017
November 2017
October 2017
October 2017
Tax Law Bulletin, Investment Funds & Asset Management Bulletin
September 2017
August 2017
July 2017
June 2017
Privacy and Capital Markets (Investment Funds and Asset Management) Bulletin
June 2017
May 2017
May 1, 2017
Share Purchase and Asset Purchase Transactions
Employment and Labour Considerations
CACE Future Leaders Conference, Montreal, QC
April 2017
April 2017
March 2017
March 2017
January 2017
November 2016
August 2016
Financial Services Bulletin
July 2016
Tax Bulletin
March 2016
March 2016
March 2016
Derivatives Bulletin
February 2016
December 2015
November 2015
October 2015
Financial Services Bulletin
September 2015
Securities Bulletin
August 2015
June 2015
March 2015
February 2015
Securities Bulletin
February 2015
February 2015
January 2015
Securities Bulletin
January 2015
Financial Services Bulletin
October 2014
Derivatives Bulletin
October 2014
Securities Bulletin
July 2014
June 2014
Financial Services Bulletin
June 2014
Securities Bulletin
April 2014
Securities Bulletin
April 2014
April 2014
Crowdfunding Bulletin
March 28, 2014
Financial Services Bulletin
January 2014
Derivatives Bulletin
January 2014
November 2013
October 2013
Member of the McMillan Insurance Team who provided the responses to the 2013 survey regarding the legal nature of insurance contracts under Canadian Civil Law and Common Law, International Bar Association, 2013 Annual Conference, Boston
October 2013
Led the McMillan Insurance Team who provided the responses to the 2013 survey regarding the legal nature of insurance contracts under Canadian Civil Law and Common Law, International Bar Association, 2013 Annual Conference, Boston
July 2013
Securities Bulletin
July 2013
Securities Bulletin
June 2013
June 2013
Securities Bulletin
May 2013
Securities Bulletin
May 2013
Securities Bulletin
May 2013
Private Equity Bulletin
April 2013
Securities Bulletin
April 2013
Model Behaviour: Rules for Derivatives Product Determination, Trade Repositories
Article appeared in the Corporate Securities Finance Law Report
Vol 18 No 2 March May 2013
April 2013
Derivatives Bulletin
April 2013
Securities Bulletin
March 2013
February 2013
Securities Bulletin
February 2013
Derivatives Bulletin
December 2012
Derivatives Bulletin
July 2012
Securities and Public Markets Bulletin
June 2012
Derivatives Law Bulletin
April 2012
February 2012
Securities and Public Markets Bulletin
February 2012
Derivatives Law Bulletin
January 2012
Exempt Market Dealers – Registration Requirements
Exempt Product Introduction Course Materials – Radius Financial Education
November 2011
Derivatives Law Bulletin
October 2011
Derivatives Law Bulletin
June 2011
Derivatives Law Bulletin
also published in TerraLex Connections enewsletter
May 2011
Investment Funds and Asset Management Bulletin
February 2011
Derivatives and Financial Institutions Regulation Bulletin