Christian specializes in regulatory, compliance and governance matters facing Canadian and foreign-based participants in the investment management sector, including:
- investment fund managers
- portfolio managers
- dealers
- financial institutions
- service providers
Christian regularly advises portfolio managers and fund managers on legal issues relating to the provision of advisory services, the distribution of securities and the establishment, operation and administration of investment funds (retail and private). He also has extensive experience in the area of registrant regulation and compliance, including developing, reviewing and assessing compliance procedures and practices. He has obtained novel exemptive relief from a wide variety of prospectus, registration, conflict of interest and other compliance requirements under Canadian securities laws.
Christian has also acted on behalf of numerous issuers and investment bankers on all types of corporate finance work (equity and debt), including IPOs, bought deals and private placements, as well as merger and acquisition transactions, shareholder and corporate governance matters, and the securities-related activities of financial institutions.
Prior to joining BLG, Christian acted as general counsel to an investment dealer registered across Canada and a member of the Toronto Stock Exchange (TSX), the TSX Venture Exchange (TSXV), the Canadian Securities Exchange (CSE), the Montreal Exchange (MX) and the Investment Industry Regulatory Organization of Canada (IIROC).
Christian provides legal services through a Law Corporation.
Experience
- Has extensive experience with registration issues and regulatory compliance matters relating to securities dealers and advisors, and regularly represents such entities before regulatory and self-regulatory securities industry authorities and organizations.
- Advises portfolio managers and investment fund managers regarding legal issues dealing with the establishment, offering and administration of investment funds (retail and pooled).
- Acts as counsel on behalf of investment fund managers in the context of the reorganization of mutual fund groups.
- Has advised investment dealers, portfolio managers, exempt market dealers, investment fund managers and mutual fund dealers in connection with the merger of acquisition of registrants and fund distribution businesses.
- Has acted as counsel to registrants in connection with their initial public offerings (IPOs).
- Acts as counsel in the constitution and maintenance of offshore investment funds.
- Advises foreign registrants on offering their services in Canada.
- Regularly provides training and advice on compliance issues impacting securities registrants, including providing assistance with the preparation of policies and procedures and risk management systems, and preparing for and responding to issues arising in connection with regulatory compliance audits and surveys.
- Has acted for industry participants in merger and acquisition transactions, including sales and purchases of mutual fund businesses, high net worth advisory businesses, and IIROC and MFDA members.
- Has dealt extensively with issues relating to institutional and high net worth managed account businesses and mandates.
- Has provided counsel in issues relating to custody, brokerage agreements and distribution networks.
- Has obtained novel and group exemptive relief from various securities law requirements.
- Has acted as counsel to issuers and syndicates of underwriters on public and private offerings of equity and debt.
- Has acted on behalf of reporting issuers in the context of takeover bids and issuer bids, as well as for corporations and independent committees undergoing private transactions (business combinations).
- Advises banks, financial institutions and businesses on financial services law, including law dealing with insurance and distribution of financial products and services.
- Has extensive experience with registration issues and regulatory compliance matters relating to securities dealers and advisors, and regularly represents such entities before regulatory and self-regulatory securities industry authorities and organizations.
- Advises portfolio managers and investment fund managers regarding legal issues dealing with the establishment, offering and administration of investment funds (retail and pooled).
- Acts as counsel on behalf of investment fund managers in the context of the reorganization of mutual fund groups.
- Has advised investment dealers, portfolio managers, exempt market dealers, investment fund managers and mutual fund dealers in connection with the merger of acquisition of registrants and fund distribution businesses.
- Has acted as counsel to registrants in connection with their initial public offerings (IPOs).
- Acts as counsel in the constitution and maintenance of offshore investment funds.
- Advises foreign registrants on offering their services in Canada.
- Regularly provides training and advice on compliance issues impacting securities registrants, including providing assistance with the preparation of policies and procedures and risk management systems, and preparing for and responding to issues arising in connection with regulatory compliance audits and surveys.
- Has acted for industry participants in merger and acquisition transactions, including sales and purchases of mutual fund businesses, high net worth advisory businesses, and IIROC and MFDA members.
- Has dealt extensively with issues relating to institutional and high net worth managed account businesses and mandates.
- Has provided counsel in issues relating to custody, brokerage agreements and distribution networks.
- Has obtained novel and group exemptive relief from various securities law requirements.
- Has acted as counsel to issuers and syndicates of underwriters on public and private offerings of equity and debt.
- Has acted on behalf of reporting issuers in the context of takeover bids and issuer bids, as well as for corporations and independent committees undergoing private transactions (business combinations).
- Advises banks, financial institutions and businesses on financial services law, including law dealing with insurance and distribution of financial products and services.
