Portfolio managers, investment fund managers and dealers operate in a dynamic marketplace subject to myriad complex rules and regulations. The scope and pace of change makes it more critical than ever for market participants to work with lawyers who have a comprehensive legal perspective.
McMillan's Capital Markets Group has a wide range of experience in securities, corporate, derivatives and tax matters. We routinely work with issuers and dealers as they establish and market a full range of investment products. Our lawyers are front and centre in key industry groups, which provides us with a unique perspective on—and direct input into—the regulatory changes impacting your business.
We provide counsel to many Canadian and non-resident fund managers, dealers and portfolio managers on Canada's complex registration and compliance obligations. We also assist our clients as they navigate various regulatory reviews and audits.
McMillan works with fund managers and independent review committees to provide advice on key issues such as conflicts of interest and fund governance. We also provide advice on reorganizations, compensation, financings and M&A transactions for fund groups and their managers—both public and private.
McMillan professionals help clients succeed by providing valuable services in key areas such as registration, structuring, tax, derivatives, compliance, marketing, and ongoing operations in connection with:
- Offerings of all forms of pooled funds (both domestic and offshore) on a private placement basis, including master-feeder and tax efficient structures
- Linked notes and prospectus-offered Canadian medium-term and structured note programs
- Funds utilizing over-the-counter or exchange-traded derivative products
- Prospectus offerings of mutual funds
- Public offerings of closed-end investment funds
- Public offerings of commodity pools
- Limited partnerships
- Labour-sponsored investment funds
- Mortgage investment corporations