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 registers firms with securities regulatory authorities and provides them with the documentation required to onboard clients and operate their businesses. He also trains representatives, executives and staff of clients on their regulatory obligations, advises them on an ongoing basis, and guides them through regulatory audits carried out by the securities regulatory authorities and FINTRAC. Chris helps clients build their businesses while remaining onside securities laws and regulations.
Chris works closely with Chief Compliance Officers, Ultimate Designated Persons, directors, and other executives at registered firms.