Representative Experience

Assisted with the registration of an exempt market dealer, including preparation of policies and procedures manuals and supporting documentation.

Structured and formed an Alberta GP/LP real estate fund in reliance on the offering memorandum exemption under NI 45-106.

Represented an exempt market dealer in an OSC compliance review and successfully appealed a Compliance and Registrant Regulation (CRR) determination to the Director.

Amended the offering memorandum of a mutual fund trust and coordinated filing on SEDAR+.

Formed a mortgage investment corporation (MIC) structured for distribution under the offering memorandum exemption, including related tax analysis.

Conducted a comprehensive compliance review of a MIC and developed and implemented a remediation plan.

Converted a mutual fund trust PPM into an NI 45-106 compliant offering memorandum to enable reliance on the offering memorandum exemption.

Acted for an Ontario-based real estate sponsor on the formation of a GP/LP fund structured for capital raising under the accredited investor exemption.

Advised an exempt market dealer on NI 31-103 compliance remediation and correspondence with the Ontario Securities Commission.

Acted as Canadian counsel to a U.S. issuer in connection with a reverse takeover and listing on the TSX Venture Exchange.

Provided a tax opinion to a real estate development fund on qualified investment eligibility for registered accounts in connection with onboarding by a third-party trust company.

Prepared offering materials for an accredited investor exempt distribution under NI 45-106.