Jonathan Doll is a partner in our Securities and Capital Markets Group in Calgary and is the Calgary Regional Leader in our Investment Management Group.
Jon acts for public and private companies, investment fund managers, portfolio managers, dealers, trust companies and service providers on securities and corporate law matters, including merger and acquisition transactions, corporate finance transactions, shareholder and corporate governance matters. Jon advises clients on the formation, management and operation of investment funds and companies and the offering of their securities in public offerings and private placement transactions. He also provides advice on a wide range of registration, regulatory and compliance matters affecting registered firms and individuals, including developing, reviewing and assessing compliance procedures and practices.
Publications & Presentations
• Presenter, Independent Review Committees: Current Regulatory Issues, Independent Review Inc. Continuing Education Series for Independent Review Committees (IRC's), June 2018.
• Moderator, New Kids on the Blockchain: Decrypting Blockchain and Digital Assets, Prairie Securities Traders Association and BLG, March 2018.
• Presenter, Fall Regulatory Update - Cybersecurity and Cryptocurrency, Alternative Investment Management Association, November 2017.
• Presenter, Exempt Markets & Insolvency - An Intersection of Securities and Insolvency Laws, Canadian Bar Association, September 2017.
• Presenter, Independent Review Committees: Taking the 2017 Regulatory Pulse, Independent Review Inc. Continuing Education Series for Independent Review Committees (IRC’ s), June 2017.
• Presenter, Compliance/Registration Chestnuts: What's the New Focus, Portfolio Management Association of Canada (PMAC) Compliance Officers Network Meeting, June 2017.
• Co-Author, ASC Releases Results of EMD Sweep/CSA Provides Guidance on Small Firms Compliance, BLG Investment Management Bulletin, June 2017.
• Presenter, “ The Way Forward: Distinct Demands, Unique Opportunities: An Exclusive Event for Discretionary Portfolio Managers,” Franklin Templeton Investments, May 2017.
• Presenter, “ Regulatory Spring Fever - Compliance Audits,” Alternative Investment Management Association, April 2017.
• Presenter, “ PWC Hot Topics,” PricewaterhouseCoopers Inc., January 2017.
• Presenter, “ BLG’s 2016 Investment Management Forum,” BLG Seminar, October 2016.
• Presenter, “ How to Start a Fund,” Alternative Investment Management Association, October 2016.
• Presenter, “ What to Expect When You’ re Expecting a Compliance Audit,” Alternative Investment Management Association, February 2016.
• Presenter, “ Regulatory Spring Fever in the Exempt Markets,” BLG Seminar, June 2015.
• Presenter, “ Focus on Registrant Regulation and Compliance,” BLG Seminar, November 2012.
• Co-Author, “ Exempt Market Changes,” Canadian Exempt Market Watch, June 2012.
• Co-Author, “ Preparation and Filing of Offering Memoranda and Reports of Exempt Distribution Under National Instrument 45-106,” BLGs Securities and Capital Markets Bulletin, May 2012.
• Presenter, “ Directors’ Decisions Mitigating the Risk of Shareholder Challenges,” Institute of Chartered Secretaries and Administrators (Calgary), October 2011.
Rankings & Recognitions
• Recognized in the 2018 edition (and since 2017) of Canadian Legal Lexpert Directory (Investment Funds and Asset Management).
•Director, Prairie Securities Traders Association?
•Co-Chair, Alternative Investment Management Association, Alberta Chapter
•Member, Canadian Bar Association, Securities and Business Law Sections
•Member, Calgary Bar Association
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