Mutual Funds

Publicly-offered mutual funds are a vital component of Canada’s financial services industry. Whether your business is managing and administering mutual funds, selling mutual funds, acting as a portfolio manager of mutual funds or providing services to the mutual fund industry, you need a legal team that not only understands the laws affecting your business, but that has the  knowledge and experience to help navigate associated legal and regulatory issues.

We have over 60 years’ experience with the Canadian mutual funds industry and continue to be an integral part of its growth. 

We work closely with our colleagues in other specialized areas, including tax, derivatives, securities litigation, pensions, insurance, and securities registrant regulation and compliance to provide comprehensive, disciplined and cost-effective legal services.

We provide our clients with a full range of services, including:

  • structuring mutual funds and their offerings
  • structuring specialized varieties of mutual funds, such as precious metals funds, alternative mutual funds, derivatives-based fund, cannabis-focused funds,      cryptocurrency funds and scholarship plans
  • structuring specialized investments for mutual funds, such as investments in UCITs, SICAVs and other off-shore collective investment vehicles
  • drafting and reviewing offering (initial and renewal) and continuous disclosure documents, such as prospectuses, fund facts and MRFPs
  • obtaining necessary relief from regulatory restrictions where required to allow you to operate your mutual funds and your business as desired
  • negotiating and drafting trust agreements, incorporation documents, investment management and sub-advisory agreements, custodial agreements and other material contracts
  • negotiating and drafting ISDA and cleared derivative documentation
  • advising on diverse legal, regulatory and compliance matters relating to mutual fund operations, administration, management, sales practices, communications, marketing, fund valuation and proxy voting
  • advising on mutual fund governance, including structuring and providing ongoing advice to independent review committees and boards of directors
  • advice on structuring investment funds and offerings of investment funds pursuant to private placements

Key Contacts

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