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Richard Austin

Borden Ladner Gervais LLPPhone(416) 367-6147
Fax(416) 682-2807

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Background

Richard Austin is counsel at our Toronto office.  Mr. Austin was admitted to the Ontario Bar in 1983 after receiving his law degree from the University of Windsor in 1981. He received a B.A. (Honours) majoring in Economics in 1978 from the University of Toronto and an MBA majoring in Finance from York University in 1984.

Areas of Practice

  • Mr. Austin began his career as a financial services lawyer and became increasingly involved in securities, and mutual fund dealer, financial planning and securities dealer matters in particular, over the last 15 years.  He has worked for the OSC, a national financial planning firm and most recently was Deputy Head of Compliance, Wealth Management for a Schedule I bank.
  • Other practice areas are centred on financial services, specifically new product and service development, compliance, and regulatory matters.

Professional Experience

Mr. Austin’s mandates have included:

  • Preparing and making-oral and written submissions to various regulators and committees including the Mackay Committee, MFDA, CSA, OSC and the-IDA
  • Establishing the first national DSC rebate program in the mutual fund industry
  • Completing the first merger of open end mutual funds
  • Establishing compliance program and attendant policies for a national mutual fund dealer
  • Acting on behalf of dealers, representatives, officers and partners in resolution of complaints, regulatory inquiries and investigations and litigation.  Deals with Canadian securities regulators on a regular basis
  • Providing advice on compliance relating to financial services matters including development of new products and services, operations, market conduct, registration and licensing
  • Providing advice with regard to establishment and operation of fund governance mechanism for two families of funds

Professional and Community Activities

  • Past member of the Board of Directors of Investment Funds Institute of Canada
  • Co-author of the Branch Compliance Officers Course
  • Past member of the MFDA Regional Council
  • Co-author of Labour Sponsored Investment Funds Course
  • Frequent speaker at financial industry conferences
  • Coach in North Toronto Soccer and Baseball leagues

Links for practice areas to which Richard Austin belongs

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