K. Ruth Liu is a lawyer practicing mutual funds, etfs, structured products and closed-end funds, private funds, hedge funds and alternative investments and 3 other areas of law. K. Ruth received a degree from University of Toronto in 2002, and has been licensed for 20 years. K. Ruth practices in Toronto, ON.
About K. Ruth Liu
Reviews for K. Ruth
Services
Areas of Law
Practice Details
-
Representative Cases & TransactionsCasesRepresentative Work
Advises on the establishment, offering
administration of investment products including retail mutual funds, exchange-traded funds, pooled funds, hedge funds, closed-end funds
flow-through limited partnerships. Advises on derivatives matters
the related documentation, with particular experience on the use of derivatives by investment funds
other regulated entities. Advises fund managers, portfolio managers
dealers on registration issues
compliance with corporate
securities laws
rules of SROs. Advises on regulatory issues relating to investment funds such as investment restrictions, continuous disclosure, fund governance, conflict of interests, sales practices
advertising. Advises asset managers, investment firms
service providers on various business agreements including those relating to portfolio management, custody
securities lending, repurchase
reverse repurchase transactions. Advises registrants on mergers, acquisitions
other business reorganizations.
Experience
-
Bar Admission & MembershipsAdmissions2006, Ontario
MembershipsProfessional Involvement
•Member Participant, Operations Working Group, Investment Funds Institute of Canada
•Member, OSC Reform Priorities Sub-Group, Investment Funds Institute of CanadaCommunity Involvement
•Mentor, Alumni Student Mentorship Program, University of Toronto Faculty of Law -
Education & CertificationsOther EducationUniversity of Toronto
Class of 2002
B.Sc.
University of Toronto
Class of 2002
with High Distinction
University of Toronto, Faculty of Law
Class of 2005
Juris Doctor
K. Ruth Liu
Scotia Plaza, 40 King Street WestToronto, ON M5H 3Y4Canada