Marie-Claude Berger Paquin is an associate in Fasken’s Asset Management and Investment Products group. Drawing on more than 15 years of experience, she supports regulated companies in structuring, launching and developing their operations across Québec and Canada. Her clients include portfolio managers, investment fund managers, registered securities dealers and family offices. Organizations regularly retain her services as a compliance consultant or interim compliance officer through secondment arrangements.
Securities registration and compliance matters are a core focus of her practice. Her day-to-day practice involves dealing with regulatory authorities, such as the Canadian Securities Administrators (CSA), the Canadian Investment Regulatory Organization (CIRO), the Autorité des marchés financiers (AMF) and the Chambre de la sécurité financière, in connection with the registration of firms and individuals, compliance functions, governance matters and conflict-of-interest management.
Clients who create, launch and market investment funds rely on Marie Claude at every stage of the process. From initial structuring to marketing, she handles the drafting of prospectuses, offering documents and continuous disclosure documents. She also advises on securities offerings and applications for regulatory exemptions. She also assists clients in deploying investment strategies for retail or institutional investors, particularly where ESG considerations are incorporated.
In more transactional matters, she provides counsel on the sale or acquisition of assets under management or administration as well as the formation of partnerships. She also advises managers and dealers subject to Regulation 93-101 respecting Derivatives: Business Conduct or registered under the Québec Derivatives Act.
Her approach is informed by experience in both regulatory matters and business. Prior to joining Fasken, she worked for over five years at the Autorité des marchés financiers as an investment fund analyst. She then held positions as Head of Compliance and Legal Counsel at an asset management organization overseeing assets for pension funds in Canada, the United States and the United Kingdom. This professional experience has given her in-depth knowledge of the frameworks governing pension funds, employee benefits and institutional management structures.
Marie-Claude is a member of the Compliance Committee of the Securities and Investment Management Association (formerly the Conseil des fonds d'investissement du Québec), and also actively supports the Emerging Managers Board and the Portfolio Management Association of Canada. She regularly speaks at conferences on topics such as compliance for registered firms and recent regulatory developments.
