Practical advice. Efficient service. Fixed-fee plans. Singular focus. We help portfolio managers, dealers and fund managers know what to do and when.

Compliance with complicated Canadian securities regulation is non-negotiable. We help you make sure it’s not keeping you or your team members up at night.

With assistance from AUM Law, you can say goodbye to confusion about changes in regulatory expectations and hello to confidence in your compliance program.

Reach out to your dedicated compliance lawyer or consultant for in-the-moment regulatory support. Or let us help you take a more proactive approach by custom-building a compliance support program from our menu of more than a dozen fixed-fee regulatory compliance services.

Choose from anti-money laundering reviews, policy reviews and updates, compliance audits, NRD filings, team training for groups up to 100+ and more. Package the services you’ll use during the next one to three years on an annual fixed-fee plan for cost certainty and peace of mind.