Christine Vogelesang

Christine is renowned for her extensive expertise in the realm of securities registrant regulation and compliance. She offers invaluable advice on a multitude of issues, including the intricacies of securities, commodities, futures, derivatives registration, and the nuanced regulatory landscapes of self-regulatory organizations and marketplaces/exchanges. Her guidance is particularly sought after in scenarios requiring applications for registration, navigating registration exemptions, securing discretionary exemptive relief, ensuring ongoing compliance, and in the execution of mergers and acquisitions involving registered firms.

Throughout her career, Christine has skillfully assisted clients in securing various forms of registration such as dealer, adviser, and investment fund manager, in addition to helping them achieve registration-exempt status. Her proficiency extends to facilitating discretionary exemptive relief, gaining membership with the Investment Industry Regulatory Organization of Canada, and navigating the complex approval processes of Canadian securities commissions for M&A transactions.

Moreover, Christine is adept at guiding firms and their personnel through the challenges of attaining and maintaining registered or registration-exempt status across Canada. She offers deep insights into the registration regimes governing securities trading, advising on commodity futures, and other derivatives, and is well-versed in handling regulatory compliance audits. Her engagements often involve interactions with Canadian securities regulators and other industry stakeholders, responding to regulatory shifts, obtaining discretionary exemptive relief, and evaluating internal policies, procedures, and client documentation.

Her work in capital markets, financial services, and investment funds and asset management is well recognized. Notably, Christine played a crucial role in advising TD Bank on its acquisition of Headlands Tech Global Markets, LLC, a move that expanded its reach into electronic fixed income trading. Similarly, her expertise was instrumental in Brookfield Asset Management's US$4.7 billion acquisition of Oaktree Capital Group, LLC, showcasing her ability to navigate high-stake transactions seamlessly.

Christine's involvement in significant acquisitions, such as Onex's takeover of Gluskin Sheff + Associates Inc. and TD Bank Group's strategic acquisition of Cowen Inc., further highlights her capacity to provide top-tier legal counsel in complex financial transactions. Her advisory role in Scotiabank's acquisitions of MD Financial Management Inc. and Jarislowsky, Fraser Limited underscores her influence in shaping Canada's financial landscape.

Looking ahead, Christine's insights into forthcoming securities registrant developments promise to pave the way for firms navigating the evolving regulatory environment in 2024 and beyond.

Educated at McGill University, where she earned both an LLB and BCL in 1995, Christine was admitted to the Ontario Bar in 1998. Her educational background and professional journey reflect a deep commitment to excellence in securities law, underscoring her status as a distinguished practitioner in her field.