Chris is a securities lawyer whose practice focuses on advising registered portfolio managers, exempt market dealers and investment fund managers on their obligations under securities legislation and other laws.
Chris helps registrants build their businesses while remaining in compliance with applicable laws. He does so in a proactive manner, getting to know the registrant’s business model and personnel and then working with the firm’s staff to address and mitigate risks. As part of this function, Chris drafts all manner of contracts, forms, policies and procedures, compliance documentation and training materials. He is proficient with legal matters relating to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, the Proceeds of Crime (Money Laundering) and Terrorist Financing Act, various securities acts that apply to registered firms, among other areas of law. Chris also assists registered firms that have been selected for regulatory audits to respond to the audits and address any remedial work required by the securities regulatory authorities.
Chris has extensive experience with the anti-money laundering requirements applicable to registered firms and leads AUM’s efforts in that regard. Chris also has experience acting as a compliance consultant for clients operating under regulator-imposed terms and conditions.
He regularly presents at industry association conferences and seminars on various regulatory topics, with a focus on AML/ATF compliance expectations and securities laws.
