Roma practises corporate and securities law, specializing in the investment management industry.
She advises investment fund manager, dealer and investment adviser clients on the creation, distribution and ongoing administration of various investment products, including retail mutual funds, exchange-traded funds, pooled funds, private equity funds, real estate funds and infrastructure funds. Roma also assists clients with mergers and acquisitions, particularly in the investment management industry. She further advises clients on fundamental changes, policies and procedures, corporate governance and commercial contracts.
Roma was seconded to the wealth distribution group of a major bank in 2020, the global asset management group of a major bank in 2018 and the corporate finance branch of the Ontario Securities Commission in 2014.
Roma is a member of the firm's Environmental, Social and Governance (ESG) initiative and Diversity and Inclusion Council.
Experience
- Preparing offering documents and continuous disclosure documents relating to investment funds.
- Registering individuals as investment fund managers, dealers and advisers in Canada.
- Advising investment fund managers on fund mergers and terminations, and other fundamental fund changes.
- Advising on compliance with corporate and securities laws.
- Obtaining exemptive relief from various securities requirements.
- Assisting with merger and acquisition transactions.
- Preparing offering documents and continuous disclosure documents relating to investment funds.
- Registering individuals as investment fund managers, dealers and advisers in Canada.
- Advising investment fund managers on fund mergers and terminations, and other fundamental fund changes.
- Advising on compliance with corporate and securities laws.
- Obtaining exemptive relief from various securities requirements.
- Assisting with merger and acquisition transactions.
