Matt Williams is a Partner in the Investment Management Group at Borden Ladner Gervais LLP.
Matt practices securities law, exclusively in the areas of registrant regulation, compliance and hedge funds.
Matt advises foreign and Canadian advisers, dealers and fund managers with respect to registration and ongoing securities compliance matters. Matt also advises both offshore and domestic hedge and private equity funds on the sale of their product in Canada and the regulatory aspects of private placements. Matt has extensive experience in obtaining registrations for advisers, dealers and fund managers in all provinces and territories of Canada, from start-up hedge funds to global asset managers with multi-trillion dollars in AUM.
Matt is involved in all aspects of the formation, organization and compliance of hedge and private equity funds and other pooled fund products, along with their management companies.
Matt advises both foreign and domestic entities on matters relating to carrying on business in Canada and registration and compliance under securities legislation. He also regularly provides advice on the regulatory aspects of mergers and acquisitions.
Day 1: Jun 17, 2020
12:15 pm
12:15 pm
Panel Discussion: Conflicts of Interest
Building a Compliance Program that will Meet the New Expectations on Addressing Conflicts of Interest
Identifying and managing conflicts of interest between registrants and clients has been a major focus for all financial services firms. But with the Client-Focused Reform changes taking effect on June 30, 2021, you must ensure your management of conflicts of interest are up to the new standards. Delve into the details of the new requirements to:
- Meet regulatory expectations in addressing material conflicts of interest
- Focus on regulatory expectations regarding proprietary products, 3rd party compensation, internal incentives, embedded compensation, and referral arrangements
- Document that reasonable steps were taken to identify existing conflicts of interest, and those that are foreseeable
Ensure your organization meets the new rules on addressing conflicts of interest
Day 2: Jun 18, 2020
