Marketing and Distributing your Fund in Canada
Overview
The Great White North seems a nice place, and typically it is, but if a non-Canadian fund tries to sell securities in Canada without knowing the Canadian legal framework, challenges can ensue (especially considering we have 13 securities regulatory authorities)! Join us to learn about the legal and regulatory requirements for dealing with and selling to Canadian investors. We will get into the nitty gritty including the types of exemptions that may be available along with the forms that need to be completed to make soliciting and selling as easy as possible. Depending on your circumstances, including whether your asset manager is registered in its home jurisdiction, selling in the North can be easier than you may think. Our panel will illustrate what is required as well as best practices for those looking to sell into Canada – as well as color on the investor segments and how to best approach them. This is presented with our partner: the Institute for Portfolio Alternatives.
This webinar is for non-Canadian asset managers interested in marketing their fund in Canada.
In Partnership with IPA
Through advocacy and industry-leading education, the Institute for Portfolio Alternatives (IPA) is committed to expanding access to real assets and creating more opportunities for retail investors to effectively balance their portfolios. The IPA provides national leadership for the Portfolio Diversifying Investments (PDI) industry. We bring together the top asset managers, product distribution partners and industry service providers – new and established – who are dedicated to driving the industry forward through education, innovation and transparency.
Where
Dial-in details will be sent once registration is complete
CAASA’s Virtual PlatformSPEAKERS
Leila Rafi
Partner
McMillan
Gary Ostoich
President
Spartan Fund Management Inc.
Jeff Shaul
President and CEO
Robson Capital Management
Jean Olivier Caron
Executive Director Business Development
FORT LP
James Burron
Co-founder, President
CAASA
Leila Rafi
Partner
McMillan
Leila Rafi is a partner in the Capital Markets and M&A Group of McMillan LLP. Ms. Rafi advises on a broad range of securities and capital markets matters, including in the investment funds and asset management industry. Ms. Rafi is lead counsel to the independent dealers for a Canadian bank’s linked-note program and she regularly provides compliance and regulatory advice for investment funds and asset managers. Leila has a large transactional practice as well dealing with a variety of corporate finance matters.
Leila sits on the Securities Advisory Committee of the Ontario Securities Commission (OSC), a three to four year appointment. Currently, Ms. Rafi is guest faculty at Osgoode Law School, teaching classes in the LLM program and for the Canadian Securities Law and Practice course, a certification in securities law, with the Acting Chair of the OSC. Leila will also be teaching an introductory Securities Law course at Queens Faculty of Law in the Winter term for 2021 as Adjunct Faculty. In the past, Leila has been an instructor for the advanced business law course offered by the University of Windsor law school and Adjunct Faculty for the January term securities law course offered by the University of Western Ontario law school. She has also taught in the Advanced Business courses at the Ted Rogers School of Management at Ryerson. For a number of years, she was the course leader for managing large corporate transactions, part of a course offered by Federated Press for legal professionals.
Leila is a prolific speaker at industry events on a variety of capital markets matters, including IFAM matters, investor relations, regulatory updates and corporate governance including diversity initiatives for women on boards and in executive officer positions of Canadian public companies. Most recently, in late 2019, she co-authored a white paper on short selling in Canada. She is a member of the Women’s Law Association of Ontario and also acts as a mentor for the University of Toronto Women’s Association.
Gary Ostoich
President
Spartan Fund Management Inc.
Gary is a Canadian hedge fund executive with more than 25 years experience covering all aspects of the hedge fund industry. Currently, Gary is President and CEO of Spartan Fund Management, a Toronto based investment management company that specializes in niche strategies managed by experienced investment teams. Spartan believes that niche, non- conventional strategies tend to provide investors with superior risk-adjusted returns and /or meet a specific need of investors within their portfolios. Currently Spartan has AUM/Committed Capital of $1.2B across 13 strategies. Previously Gary had been involved with seeding and successfully growing a number of businesses relating to the alternative asset area.
Gary started his career in the hedge fund industry while a partner within the Toronto office of the law firm of McMillan LLP which he joined in 1987. Gary headed up McMillan LLP’s hedge fund practice and formerly was on their management committee. While at McMillan LLP (he left private practice in 2003) he was repeatedly included in LEXPERT’s Guide to the Leading 500 Lawyers in Canada. Gary was instrumental in establishing in 2003 the Canadian Chapter of the Alternative Investment Management Association based in the U.K. Gary is past chair of AIMA Canada.
Gary has written and spoken extensively in Canada and abroad with respect to various issues relating to the hedge fund industry. He has also appeared before regulatory bodies and task forces within Canada relating to hedge funds including testifying before the Senate Banking Committee in Canada with respect to hedge fund regulation.
Jean Olivier Caron
Executive Director Business Development
FORT LP
Jean Oliver Caron joined FORT in 2016 and is a member of the Business Development & Investor Relations department. Prior to joining FORT, Mr. Caron was Sales Director at Citigroup Japan leading a team of financial engineers and sales to address both the institutional and retail equity derivatives markets.
Prior to Citi, Mr. Caron was Sales director at BNP Paribas both in Tokyo and New York where he focused on institutional relationships. During a span of 6 years, as part of the equity derivatives sales team, he was responsible for promoting and developing a product offering tailored to institutional investors both in Asia and North America. Prior to BNP Paribas, Mr. Caron spent 2 years at Citigroup Japan working in fixed income risk management and international syndication.
Mr. Caron graduated from the University of Tokyo with a Master’s degree in Applied Sciences and holds an Electrical Engineering Diploma from Ecole Polytechnique of Montreal.
James Burron
Co-founder, President
CAASA
James co-founded CAASA in response to industry support for a Canadian alternatives association to serve all aspects including: hedge / alternative strategies; private lending; private real estate; private equity; plus emerging areas where Canada is a leader such as digital assets / blockchain and robo-advisors.
Prior to CAASA, James was the Chief Operating Officer of AIMA Canada where his team of three worked with 12 committees to produce 50-60 events per annum across Canada, organize 100+ committee meetings, and increase member numbers over his 7-year tenure from 66 to 164 corporate entities.
James also has experience in research and writing for the CAIA Association as well as serving on CAIA’s Exam Council and as a grader for the Level II portion of the exam. He also had roles in institutional sales and FoHF structuring in Seoul, South Korea, as a Product Manager at ICICI Wealth Management, and an Investment Advisor at RBC Dominion Securities. He graduated from Simon Fraser University with a BBA (Finance)
Members
Event Registration Closed
Non-Members
Event Registration Closed