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.
Sean also regularly advises on securities law/IIROC/MFDA compliance and enforcement matters, and on white collar defense, internal investigations, voluntary and whistle-blowing disclosures with respect to matters involving securities activities. He also regularly advises registrants 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. Sean 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.
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, Sean 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. For over 20 years, he has been a co-editor of LexisNexis’ 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. He is also co-author of a chapter in Practising Law Institute’s treatises, Broker-Dealer Regulation and Investment Adviser Regulation, and a chapter in the International Comparative Legal Guide to: Alternative Investment Funds 2017 (full chapter can be viewed by clicking here).
Sean received his BA from the University of Toronto, his JD from the University of Windsor and his LLM in banking and financial services law from the Osgoode Hall Law School.