Chris von Boetticher

Avocat-conseil principal

[email protected]
416.966.2004 x252


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Chris’s practice focuses on registrant regulatory compliance, as well as compliance related to the management, distribution and operations of investment funds. As part of his regulatory compliance practice, Chris is experienced in guiding prospective registrants through the registration process with securities regulators. He provides existing registrants including portfolio managers, investment fund managers, exempt market dealers, family offices and managers of mortgage investment entities with ongoing advice to help them comply with securities legislation and remain informed of evolving regulatory trends and expectations. Chris also has experience in assessing the effectiveness of clients’ anti-money laundering compliance systems.

As part of his investment funds compliance practice, Chris advises clients on the requirements of operating collective investment vehicles such as real estate investment funds (REITs), private pooled funds, mortgage investment corporations (MICs) and other mortgage investment entities. He also advises clients on the legal and regulatory implications associated with the offering and distribution of the securities of such entities in Canada, including their ongoing client reporting and regulatory filing requirements.

Prior to joining AUM Law in 2017, Chris worked for over 16 years in the legal department of a large investment management firm and was most recently Vice-President, General Counsel and Secretary. Chris provided extensive advice on public and private fund formations and maintenance, compliance, corporate governance, mergers and acquisitions, and general commercial matters. Chris was previously legal counsel at a another investment management firm, prior to its acquisition.

Chris began his legal career as an associate with Bay Street law firms in their corporate and securities law groups where he provided advice on corporate finance, mergers and acquisitions and various other general corporate commercial and securities law matters.

Beyond Our Walls

Professional Involvement

  • Member, Legal, Finance & Compliance Committee, Alternative Investment Management Association (Canada) (AIMA), 2023-present
  • Member, Compliance & Operations Group, Canadian Association of Alternative Strategies & Assets (CAASA), 2023-present
  • Member, Industry Regulatory & Tax Committee, Portfolio Management Association of Canada, 2019-present

Community Involvement

  • Past director and secretary, Wildlife Preservation Canada

Bar Admission & Education

  • Ontario, 1997
  • MBA, University of Toronto, Rotman School of Management, 2004
  • JD, Queen's University Faculty of Law, 1995
  • BA (Urban Development), Université de Western Ontario, 1992

*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.