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About K. Ruth Liu

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.

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Services

Areas of Law

  • Other 6
    • Mutual Funds
    • ETFs, Structured Products and Closed-End Funds
    • Private Funds, Hedge Funds and Alternative Investments
    • Derivatives
    • Investment Management
    • Securities Registrant Regulation and Compliance

Practice Details

  • Representative Cases & Transactions
    Cases
    Representative 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 & Memberships
    Admissions
    2006, Ontario
    Memberships

    Professional Involvement
    •Member Participant, Operations Working Group, Investment Funds Institute of Canada
    •Member, OSC Reform Priorities Sub-Group, Investment Funds Institute of Canada

    Community Involvement
    •Mentor, Alumni Student Mentorship Program, University of Toronto Faculty of Law

  • Education & Certifications
    Other Education
    University 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

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Scotia Plaza, 40 King Street WestToronto, ON M5H 3Y4Canada