Senior Legal Counsel, BLG
Chris has been advising exempt market dealers and portfolio managers regarding their obligations under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act and its Regulations for more than a decade, and helps firms navigate FINTRAC audits, develop compliance programs, draft policies and procedures, conduct risk assessments and provides them with training. His practice more broadly focuses on providing legal advice to the investment management industry, and includes registering firms with the securities regulatory authorities, assisting them through audits, providing ongoing legal advice and advising on compliance matters generally.