As former registrants we understand the challenges that participants in the securities industry face.
Balancing the demands of portfolio managers, investment advisors, branch managers, business leaders, the compliance and legal departments and numerous regulators, all within the dynamic compliance and regulatory landscape is complex and challenging, particularly when it is your registration and license that are subject to scrutiny.
Our legal practice is focused exclusively on securities and regulatory law and compliance matters for investment dealers, mutual fund dealers, exempt market dealers and portfolio managers.
Most importantly, we understand what it means to hold a securities registration and how to evaluate a compliance requirement,
understand the legal and risk implications surrounding it, and then implement it across an organization in a manner that makes good business sense and is operationally scalable.
What We Do
Quite simply, we do all things compliance. We develop relationships with our clients in order to better understand our clients’ business operations so that we can tailor solutions which suit individual clients’ needs. We offer a range of compliance and legal services designed to support registrants in the Canadian investment industry.
Our services include:
- Compliance oversight support;
- Marketing reviews and supervision;
- Pre-SRO audit check-ups;
- Independent FINTRAC AML assessments;
- Recruiting due diligence;
- Complaint handling and litigation support;
- New and ongoing registration support;
- Representation work before self-regulatory organizations and provincial securities commissions;
- Regulatory project management;
- Compliance training; and
- Annual compliance certification.