Agreement Drafting and Negotiation

At Registrant Law, we provide tailored legal support for investment fund managers, portfolio managers, exempt market dealers and CIRO dealers across Canada. Our legal team specializes in drafting and negotiating a wide range of commercial agreements that are essential to your operations, compliance, and client relationships.

We help clients structure, draft, and negotiate agreements that are clear, enforceable, and aligned with regulatory expectations. Our services include:

Investment Management Agreements (IMAs)

We draft and review IMAs that define the scope of discretionary authority, fee structures, performance benchmarks, and client obligations—ensuring compliance with securities laws and client transparency.

Sub-Advisory Agreements

We assist in structuring sub-advisory relationships between portfolio managers, including cross-border arrangements. We address delegation of authority, fiduciary duties, reporting obligations, and termination rights.

Subscription Agreements

We prepare subscription documents for private placements and fund offerings, ensuring they are aligned with offering memoranda, exempt distribution rules, and investor eligibility requirements.

Custodial Agreements

We negotiate custodial arrangements with Canadian and global custodians, focusing on asset segregation, safekeeping standards, liability provisions, and regulatory compliance under NI 31-103 and NI 81-102.

Brokerage Agreements

We draft and review agreements with executing brokers, prime brokers, and introducing brokers, ensuring clarity on trade execution, settlement, margin, and compliance responsibilities.

Service Agreements

We prepare service contracts with third-party vendors, administrators, and technology providers, with a focus on data protection, performance standards, and termination rights.

Referral Agreements

We structure referral arrangements in compliance with NI 31-103, ensuring proper disclosure, compensation terms, and regulatory filings.

• Securities Law Expertise: We understand the regulatory context behind every agreement.
• Negotiation Support: We advocate for your interests while maintaining commercial pragmatism.
• Risk Management: We identify and mitigate legal and regulatory risks before they become issues.
• Tailored Solutions: Every agreement is customized to your business model and operational needs.

Contact Nancy Mehrad at nancy@registrantlaw.com to ensure your agreements are built on a solid legal foundation.