Richard Roskies

Avocat-conseil principal

[email protected]
416.966.2004 x230


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Richard has acted as a primary compliance consultant in connection with clients’ remediation of compliance deficiencies when operating under regulatory imposed terms and conditions. Richard has particular expertise in helping clients understand the regulatory expectations around identifying, managing and mitigating conflicts of interest. He has also participated in the formation of investment funds and corporate transactions for clients.

A large part of Richard’s practice also focuses on advising registrant firms on cybersecurity and privacy considerations. He helps registrant firms develop and test the effectiveness of cyber-security policies and procedures, incident response plans, and cyber-security risk management to document that a firm has taken reasonable steps to safeguard client data. Richard has also advised clients on the regulatory implications of starting a business that intends to conduct an Initial Coin Offering (ICO) or that uses blockchain technology.

Richard has experience in assessing the effectiveness of a client’s anti-money laundering (AML) compliance systems and assisting clients with AML audits conducted by Canadian anti-money laundering regulators (FINTRAC). In addition, he has helped clients navigate the complaint process operated by the Ombudsman for Banking Services and Investments (OBSI).

Richard is an accomplished public speaker and takes pride in conducting training sessions for groups of registrants – executive, representatives and staff – that are lively, interesting and provide valuable insights. He regularly participates in industry and client seminars and conferences. Richard is adept at cutting through the complexities to the heart of the particular regulatory requirement and what it might mean for registrants.

Before joining AUM Law, Richard began his legal career at a large law firm in downtown Toronto.

Beyond Our Walls

Professional Involvement

  • Member, Law Society of Upper Canada
  • Member, Registrant Advisory Committee, Ontario Securities Commission (2 Year Term)

Community Involvement

  • Volunteer, Hockey Coach Avenue Road Hockey Association

Awards & Recognitions

  • Recognized in the 2024 edition of The Best Lawyers in Canada® (Mutual Funds Law and Securities Law).

Bar Admission & Education

  • Ontario, 2011
  • JD, Université Queen’s, 2010
  • BComm, Université McGill, 2006

*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.