investment funds and 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 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:

  • 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
October 2017

Securities Bulletin

October 2017

Tax Law Bulletin, Investment Funds & Asset Management Bulletin

September 2017

Securities Bulletin

August 2017

Securities Bulletin

July 2017

Securities Bulletin

June 2017

Capital Markets Bulletin

June 2017

Privacy and Capital Markets (Investment Funds and Asset Management) Bulletin

May 2017

Securities Bulletin

May 1, 2017
Share Purchase and Asset Purchase Transactions
Employment and Labour Considerations
CACE Future Leaders Conference, Montreal, QC
April 2017

Derivatives Bulletin

April 2017

Securities Bulletin

March 2017

Tax Bulletin

March 2017

Capital Markets Bulletin

January 2017

Capital Markets Bulletin

November 2016

Securities Bulletin

August 2016

Financial Services Bulletin

July 2016
Tax Bulletin
March 2016

Tax Bulletin

March 2016
Tax Bulletin
March 2016
Derivatives Bulletin
February 2016

Derivatives Bulletin

December 2015

Capital Markets Bulletin

November 2015
Derivatives Bulletin
October 2015

Financial Services Bulletin

September 2015
Securities Bulletin
August 2015

Securities Bulletin

June 2015

Securities Bulletin

March 2015
Derivatives Bulletin
February 2015
Securities Bulletin
February 2015
Securities Bulletin
February 2015
Derivatives Bulletin
January 2015
Securities Bulletin
January 2015

Financial Services Bulletin

October 2014
Derivatives Bulletin
October 2014
Securities Bulletin
July 2014

Derivatives Bulletin

June 2014
Financial Services Bulletin
June 2014
Securities Bulletin
April 2014
Securities Bulletin
April 2014
Derivatives Bulletin
April 2014
Crowdfunding Bulletin
March 28, 2014
Financial Services Bulletin
January 2014
Derivatives Bulletin
January 2014
Derivatives Bulletin
November 2013
Derivatives Bulletin
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
Derivatives Bulletin
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
Securities Bulletin
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
Derivatives Bulletin
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