Christian specializes in regulatory, compliance and governance matters facing Canadian and foreign-based participants in the investment management sector, including:
- investment fund managers
- portfolio managers
- dealers
- financial institutions
- service providers
Christian regularly advises portfolio managers and fund managers on legal issues relating to the provision of advisory services, the distribution of securities and the establishment, operation and administration of investment funds (retail and private). He also has extensive experience in the area of registrant regulation and compliance, including developing, reviewing and assessing compliance procedures and practices. He has obtained novel exemptive relief from a wide variety of prospectus, registration, conflict of interest and other compliance requirements under Canadian securities laws.
Christian has also acted on behalf of numerous issuers and investment bankers on all types of corporate finance work (equity and debt), including IPOs, bought deals and private placements, as well as merger and acquisition transactions, shareholder and corporate governance matters, and the securities-related activities of financial institutions.
Prior to joining BLG, Christian acted as general counsel to an investment dealer registered across Canada and a member of the Toronto Stock Exchange (TSX), the TSX Venture Exchange (TSXV), the Canadian Securities Exchange (CSE), the Montreal Exchange (MX) and the Investment Industry Regulatory Organization of Canada (IIROC).
Christian provides legal services through a Law Corporation.
Experience
- Advises and advocates for investment managers on novel, complex and high-stakes regulatory matters, including new business models, innovative investment products, exemptive relief and issues for which established market practice may not provide a clear answer;
- Guides registered firms through regulatory reviews and examinations, from preparation and document production to deficiency responses, remediation and interactions with regulators;
- Advises registered firms on registration applications, ownership and control changes, compliance systems, internal controls and ongoing regulatory obligations;
- Establishes and advises mutual funds, ETFs, alternative mutual funds, pooled funds, hedge funds and other public and private investment vehicles;
- Counsels investment fund managers on prospectus offerings, private placements, continuous disclosure, fund governance, conflicts of interest, investment restrictions and operational matters;
- Advises on acquisitions and sales of registered firms, fund-management rights and distribution businesses, including regulatory notices and approvals, transfers of assets under management, changes of control and post-closing compliance integration;
- Counsels investment fund managers on fund mergers, reorganizations, changes of manager and other strategic product transactions;
- Advises registered firms and investment managers on derivatives-based strategies, applicable regulatory requirements and related disclosure and compliance controls;
- Helps foreign advisers, dealers and investment fund managers enter Canada and distribute domestic and offshore investment funds; and
- Counsels investment managers on emerging regulatory issues affecting their businesses, products and compliance systems.
- Advises and advocates for investment managers on novel, complex and high-stakes regulatory matters, including new business models, innovative investment products, exemptive relief and issues for which established market practice may not provide a clear answer;
- Guides registered firms through regulatory reviews and examinations, from preparation and document production to deficiency responses, remediation and interactions with regulators;
- Advises registered firms on registration applications, ownership and control changes, compliance systems, internal controls and ongoing regulatory obligations;
- Establishes and advises mutual funds, ETFs, alternative mutual funds, pooled funds, hedge funds and other public and private investment vehicles;
- Counsels investment fund managers on prospectus offerings, private placements, continuous disclosure, fund governance, conflicts of interest, investment restrictions and operational matters;
- Advises on acquisitions and sales of registered firms, fund-management rights and distribution businesses, including regulatory notices and approvals, transfers of assets under management, changes of control and post-closing compliance integration;
- Counsels investment fund managers on fund mergers, reorganizations, changes of manager and other strategic product transactions;
- Advises registered firms and investment managers on derivatives-based strategies, applicable regulatory requirements and related disclosure and compliance controls;
- Helps foreign advisers, dealers and investment fund managers enter Canada and distribute domestic and offshore investment funds; and
- Counsels investment managers on emerging regulatory issues affecting their businesses, products and compliance systems.
