Lawyer Profile Detail
Sean D. Sadler
AREA OF EXPERTISE
Osgoode Hall Law School
University of Windsor
Sean Sadler is a partner in the Securities Regulation & Investment Products Group of McCarthy Tétrault LLP in its Toronto office.
Since joining the firm in 1989, he has been primarily engaged in a securities trading and adviser regulation practice, with particular emphasis on advising Canadian and non-resident dealers and advisers on the offering of their services in Canada, including structuring and regulation of collective investment vehicles and the public and private offering of investment products and securities, retail mutual funds, institutional pooled funds, hedge funds, closed-end funds, separately managed accounts, wrap accounts, wealth management services, family offices and registered education savings plans.
Mr. Sadler also regularly advises on securities law/IIROC/MFDA compliance and enforcement matters for registrants and on private placements, commodity futures and OTC derivatives trading, acquisitions, divestitures and reorganizations of registrants and the merger of investment fund complexes and the establishment of investment fund businesses. Mr. Sadler has, together with local counsel, assisted clients in establishing or restructuring investment funds in jurisdictions outside Canada including, Bermuda, British Virgin Islands, Cayman Islands and Mauritius.
Mr. Sadler has been recently engaged as securities counsel to the receiver of an insolvent hedge fund complex. Earlier in his career, he was seconded as legal counsel to the Registration Section of the Capital Markets Branch of the Ontario Securities Commission and to the Fixed Income Group of CIBC Wood Gundy Securities Inc.
For many years, Mr. Sadler has been a special lecturer in various securities law topics at the University of Windsor, the University of Western Ontario, Dalhousie University and Queen’s University. He is a co-editor of CCH’s Annotated Ontario Securities Legislation. He is also a co-author of CCH’s Canadian Securities Regulatory Requirements Applicable to Non-Resident Broker-Dealers, Advisers and Investment Fund Managers, a handbook of Canadian Securities regulatory requirements for non-resident securities firms published in 2012.
Mr. Sadler appears in the 2013 edition of The Best Lawyers in Canada in the areas of mutual funds law, private funds law and securities law, in the International Who’s Who of Private Funds Lawyers, 2009 and, in the Who’s Who Legal: Canada 2012 in the area of private funds. Mr. Sadler is recognized in Practical Law Company’s 2011/2012 Investment Funds Handbook as a recommended lawyer in Canada and has appeared in the Canadian Legal Lexpert Directory, a guide to the leading law firms and practitioners in Canada, as a leading lawyer in the area of asset management and investment funds.
He received his B.A. from the University of Toronto, his J.D. from the University of Windsor and his LL.M. in banking and financial services law from the Osgoode Hall Law School. Mr. Sadler was called to the Ontario bar in 1989.
Canadian Securities Law News: Canadian Securities Regulators Enter Into Supervisory Cooperation Arrangements With European Financial Regulators
Canadian Securities Law News: OSC Issues Report on Continuous Disclosure Review of Investment Fund Sales Communications
Canadian Securities Law News: CSA Issues Guidance on Relationship Disclosure Practices for Portfolio Managers and Exempt Market Dealers
Canadian Securities Laws News
Investment Fund Amendments Would Bring Sweeping Changes to Closed-End Fund Regime
Proposed Changes to Early Warning Reporting System Address Market Transparency and Shareholder Activism in Canada
OSC Reports on 2012 Compliance Experience
Canadian Securities Regulatory Requirements applicable to Non-Resident Broker-Dealers, Advisers and Investment Fund Managers
Proposed Implementation of Stage 2 of Point of Sale Disclosure for Mutual Funds
IIROC Proposes Expansion of Client Suitability Review Rules and Client Account Reporting Obligations for Dealer Members
McCarthy Tétrault Partners Author New Guide on Canadian Securities Regulatory Licensing Requirements
Transactions & Cases
Stonebridge Infrastructure Debt Fund I Limited Partnership completes C$150 million initial closing
Fiera Sceptre closes plan of arrangement
The Bank of Nova Scotia acquires Sun Life Financial’s ownership stake in CI Financial
Scotiabank completes acquisition of E*Trade Canada
Acquisition of Canadian Wealth Management by SG Private Banking
Front Street Flow-Through 2008-I Limited Partnership completes $110 million offering
Scotiabank acquires the Canadian subsidiary of The National Bank of Greece
Front Street completes initial closing for initial public offering