Private Investment Funds & Compliance
Wright Business Law advises fund sponsors, private issuers, and exempt market participants on fund formation, offering documents, and securities law compliance. We act across the full lifecycle of private capital raising, from structuring and documentation to ongoing regulatory compliance and fund operations, with advice that is practical, precise, and aligned with how private funds operate in practice.
Licensee, Law Society of Ontario (LSO)
Member, Private Capital Markets Association (PCMA)
15+ years of corporate and securities law experience
Our Services
Fund Formation & Structuring
Designing and launching private investment vehicles including LPs, REITs, MFTs, MICs, and management structures tailored to your strategy.
Exempt Offerings
Practical, regulator-ready support for private placements, offering documents, prospectus exemptions, and capital-raising processes.
Registrant & Exempt Market Compliance
Compliance, registration, filings, and review support for EMDs, PMs, IFMs, and other exempt market participants.
Ongoing Fund Operations & Governance
Assisting fund sponsors with investor matters, governance, disclosure obligations, and regulatory communications to support compliant fund operations.
Cross-Border US-Canada Offerings
Coordinating Reg D/Reg S and NI 45-106 requirements for efficient cross-border fundraising and parallel fund structures.
Going Public Transactions
Guiding issuers through listings, RTOs, reorganizations, and the transition from private to public markets.
Representative Experience
Assisted with the registration of an exempt market dealer, including preparation of policies and procedures manuals and supporting documentation.
April 2026
Structured and formed an Alberta GP/LP real estate fund in reliance on the offering memorandum exemption under NI 45-106.
March 2026
Represented an exempt market dealer in an OSC compliance review and successfully appealed a Compliance and Registrant Regulation (CRR) determination to the Director.
March 2026Why Clients Choose Us
Wright Business Law's client-first approach means direct access to senior counsel, predictable fees, and practical advice from a lawyer who understands the capital markets landscape.
- Trusted. Specialized. Transparent.
- 15+ years of corporate/securities registrant and fund law experience
- Direct access to senior counsel
- Clear scope, predictable fixed rate fees, responsive service
Contact Us
info@wrightbusinesslaw.ca
info@wrightbusinesslaw.ca
Articles
Investor disputes are a major risk in private investment funds, frequently driven by misaligned expectations, unclear disclosures, or preferential treatment. This article outlines how Ontario fund sponsors can proactively avoid disputes by aligning offering documents, communications, governance, valuation practices, and investor rights with regulatory and commercial realities.
Read MoreWhen raising capital through an exempt market dealer, the EMD agreement defines regulatory risk allocation. This article outlines how Ontario issuers and EMDs should structure and draft EMD agreements, covering scope of services, compliance obligations, compensation, filings, indemnities, conflicts, and termination to ensure a regulator-defensible distribution.
Read MoreFATCA and the Common Reporting Standard are now core compliance obligations for certain Canadian funds with non-resident or U.S. investors. This article explains how fund managers must classify investors, collect self-certifications, monitor changes in tax residence, report annually to the CRA, and integrate FATCA/CRS into onboarding, data systems, and governance frameworks.
Read MoreMany exempt market dealers encounter regulatory issues due to scope misalignment, weak onboarding and suitability processes, custody and capital errors, or inadequate conflict disclosure. This article outlines the most common EMD registration pitfalls in Ontario and provides practical guidance on how firms can structure controls to avoid enforcement risk.
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