Peter Dunne focuses on the Canadian investment industry, serving clients on securities regulatory matters, fund formation and capital raising. His combined experience in securities regulatory matters and fund formation enables him to assist many clients in anticipating and addressing their needs in launching, operating, acquiring or selling a business in the Canadian investment industry.
As a leader in securities regulatory law in Canada, Peter was one of the first lawyers in the country to focus his practice on the regulatory aspects of the investment industry. He acts for registered dealers, advisers and investment fund managers across the country and provides advice to international firms in connection with operating in Canada. Peter assists in the initial registration of firms and individuals under securities legislation, advises on the regulatory implications of operational matters and liaises with securities regulators on behalf of clients. He also represents parties buying or selling registered firms, including both public and private mergers and acquisitions, and advises on reorganizations. Peter has extensive experience representing clients in securities regulatory investigations and enforcement actions.
In addition, Peter has extensive experience in fund formation, representing clients in the creation and operation of all manner of funds, including public mutual funds, private pooled funds, hedge funds, private equity and venture capital funds, public and private flow-through limited partnerships, commodity pools, private real estate investment structures and exchange-traded funds. He advises clients on the distribution of securities of funds, both by prospectus and under exemptions from the prospectus requirement, and assists in the preparation of prospectuses and offering memoranda. Peter’s experience includes fund mergers, terminations and change of manager transactions, along with the regulatory requirements involved in those transactions.
Peter also represents public and private companies and has extensive experience in public and private capital raising and in listing on stock exchanges and accessing other markets.
Through his past directorship and ongoing participation with the Private Capital Markets Association of Canada (PCMA), Peter is involved in the formation of regulatory policy in this important aspect of the Canadian investment industry. Peter is a frequent contributor to PCMA publications.
Peter is a member of Canadian Securities Administrators' implementation committee for the Client-Focused Reforms, which propose sweeping changes to the national regulatory requirements for registrants under Canadian securities legislation.
Peter authored materials used in connection with the exempt market products exam—one of the courses designated by the Canadian securities regulators as an exam-based proficiency requirement for registration with an exempt market dealer in Canada. He has also been a guest lecturer on investment funds for the LL.M. program offered by Osgoode Hall Law School and is a frequent speaker at industry conferences and events.
Bennett Jones