Rebecca practises securities law, as well as corporate and commercial law. She focuses on the compliance, regulatory and governance issues facing participants in the investment management industry, including fund managers, portfolio managers and dealers.
Rebecca has over 25 years of experience working with the investment management industry as a lawyer and a regulator.
Rebecca works with fund managers to establish new products and to manage and administer funds in compliance with applicable regulation.
Among other things, she assists fund managers and independent review committees to effectively implement and comply with fund governance regulations in Canada.
Rebecca also advises firms about effective implementation of the regulatory and compliance requirements for registrants mandated by the Canadian securities regulators.
Rebecca joined BLG in November 2003, after nine years as a senior investment funds regulator with the Ontario Securities Commission (OSC).
Experience
- Regularly consults with Canadian and international industry participants on a wide range of governance, sales practices, marketing, private placement and regulatory compliance matters.
- Works with fund managers to establish, manage and distribute investment funds.
- Works with registrant firms to improve their compliance systems through, among other things, providing assistance in preparing policies and procedures, advice in testing compliance systems, conducting "mock" compliance audits and working with registrant firms to respond appropriately to regulatory compliance audits and surveys.
- Regularly consults with Canadian and international industry participants on a wide range of governance, sales practices, marketing, private placement and regulatory compliance matters.
- Works with fund managers to establish, manage and distribute investment funds.
- Works with registrant firms to improve their compliance systems through, among other things, providing assistance in preparing policies and procedures, advice in testing compliance systems, conducting "mock" compliance audits and working with registrant firms to respond appropriately to regulatory compliance audits and surveys.
