Neil Kothari

LawyerCaravel LawCapital Markets and M&A

Neil practices in the areas of Canadian securities law, corporate finance, mergers & acquisitions, blockchain, financial services (fin-tech) and early stage financings. Neil has both domestic and international experience, including in connection with cross-border and international transactions. After gaining extensive experience with two of Canadas largest chartered banks including in their risk, treasury and legal functions, Neil has recently focused on supporting disruptive start-up companies and challenger banks with an emphasis on fintech, block-chain, electronic trading, e-commerce and related sectors.

Neil was admitted to the Ontario Bar in 2001 and a solicitor of England & Wales in 2009. Prior to founding NK Law Corporation in 2018 and practicing in association with Caravel in early 2020, Neil practiced with Blake, Cassels & Graydon in their corporate and securities groups, and joined Sidley Austin LLP in their London office focusing primarily on derivatives and structured finance transactions. Neil has also been engaged in several in-house roles including as senior securities counsel with Nortel Networks Corporation, a senior counsel and director with Royal Bank of Canada supporting its international operations and a Chief Legal Officer of a merchant bank. His experience spans both North American and international markets and has primarily focused on securities law compliance, debt and equity financings, derivatives, and structured finance transactions. In addition to being a lawyer, Neil is also a CA and CFA, which enables him to provide a broad financial and commercial perspective to his legal analysis.

Education

  • University of Toronto, 2001
  • Canadian Institute of Chartered Accountants, 1996
  • Chartered Financial Analyst, 2006

Bar Admission

  • Ontario, 2001

Experience

  • More recent experience has included advising several financial-technology start-ups including in connection with the legal and regulatory strategy and analysis to guide the creation of a platform to facilitate the trading and clearing of financial products and tokenized assets using advances in block-chain and related technology while navigating US and Canadian regulatory requirements related to the operation of an alternative trading system, direct brokerage, clearinghouse, direct contract market and a securities exchange.
  • Provide transactional support and represent issuers in connection with early-stage financing including security agreements for future equity, Series Seed and Series A financings, securities token offerings, acquisitions and strategic alliances.
  • Assist development stage and early ventures in the preparation of offering memoranda, convertible debt and related financing documentation and securities law disclosure and compliance issues.
  • Provided legal support to a diverse global cannabis business including in connection with the resolution of a special committee investigation, settlement of a complex cross-border class action securities litigation, management of international compliance issues, development of governance controls and procedures, handling of a major privacy breach and disclosure consequences and potential contested annual general meeting.
  • Acted for issuers, underwriters and swap counterparties in connection with the design, execution and documentation of securitization derivatives and related transaction documentation.
  • Acted for the technology companies in connection with substantial issuer bids conducted by way of a dutch auction for the common shares and debentures.
  • Acted for a major telecommunications provider in a complex sale by short form prospectus of subscription receipts.
  • Acted for a major telecommunications provider in a complex sale by short form prospectus of subscription receipts.

Associations

  • Canadian Institute of Chartered Accountants, 1996
  • Chartered Financial Analyst, 2006
  • Law Society of England and Wales, 2009