Vivek (Vik) Bali

Lawyer, AUM Law*

[email protected]
416.966.2004 x301

Vik’s practice focuses on securities regulatory compliance. Vik assists clients, including exempt market dealers, investment fund managers, and portfolio managers in assessing and managing regulatory risk and advises them on their compliance obligations across various regulatory frameworks, including securities and anti-money laundering (AML) laws. Vik also advises clients on the on-going management and distribution of investment products.

Prior to joining AUM Law in 2022, Vik articled and then worked in the legal and compliance group at a Canadian financial institution. He gained experience on the various issues that arise concerning registrant obligations, as well as associated legal documents impacting clients in the asset management industry.

Bar Admission & Education

  • Ontario, 2020
  • JD, Osgoode Hall Law School, 2019
  • BSc. (Biochemistry), York University, 2014

*AUM Law Professional Corporation (“AUM Law” and “AUM”) is wholly owned by Borden Ladner Gervais LLP (“BLG”) but is a separate legal entity that is licensed in Ontario to directly or indirectly provide legal or other services to clients.

AUM and BLG operate and carry on business as separate legal entities. They are not one partnership and therefore neither AUM nor BLG is responsible for the acts or omissions of, nor has any authority to obligate or otherwise bind, the other.