Regulatory Compliance Advice

At Registrant Law, we provide specialized legal services tailored to the unique regulatory needs of Canadian securities firms. Our Regulatory Compliance practice is grounded in deep industry knowledge and a commitment to delivering practical, business-aligned solutions. We support registrants in navigating complex compliance requirements with clarity, efficiency, and confidence.

Securities Law Compliance

We offer strategic legal guidance on compliance with newly introduced or amended securities regulations, including the Client Focused Reforms and the Canadian Investment Regulatory Organization (CIRO)’s Rule Consolidation Project. Our advice is tailored to your firm’s structure and operations, ensuring that your policies, procedures, and practices align with evolving regulatory expectations.

Audit Preparation and Support

Our regulatory audit practice lawyers are designed to help firms prepare for and respond to regulatory audits with confidence. We assist with:

• Pre-audit readiness assessments
• Review and analysis of past audit findings
• Development and implementation of remediation plans
• Real-time support during audits, including drafting and reviewing audit response letters

Our goal is to minimize regulatory risk and ensure a smooth audit process.

Firm Compliance Reviews

We conduct comprehensive reviews of your firm’s compliance framework, including internal controls, supervisory systems, and operational procedures. Our assessments identify gaps and provide actionable recommendations to enhance your firm’s compliance posture and reduce exposure to regulatory scrutiny.

Compliance Policy Manuals 

We assist in drafting, reviewing, and updating compliance policy manuals.

Training

We provide tailored training programs for compliance officers, senior management, and staff. Our sessions cover key regulatory topics and are designed to enhance internal understanding of compliance obligations, foster a culture of compliance, and support ongoing professional development.

Anti-Money Laundering (AML) Compliance 

Our AML services include:

• AML policy and procedure development
• AML effectiveness reviews
• Ongoing compliance monitoring

We help firms meet their obligations under Canadian AML legislation and regulatory guidance, ensuring robust systems for detecting and preventing financial crime.

Independent Compliance Consultant Engagements 

Following a regulatory decision or settlement, we act as independent compliance consultants to assist firms in meeting regulatory undertakings. Our services include conducting independent reviews, overseeing remediation efforts, and reporting to regulators as required.

Engaging a law firm offers distinct advantages for firms navigating Canada’s complex securities regulatory environment:

• Legal Accuracy: Lawyers ensure your compliance framework aligns precisely with legislation and regulatory expectations, minimizing legal and reputational risk.
• Strategic Insight: We interpret complex rules—such as CIRO’s consolidated rule book—and help implement forward-looking compliance strategies.
• Credibility with Regulators: Legal counsel enhances the credibility of your compliance efforts, particularly during audits, investigations, or remediation.
• Tailored Solutions: We deliver customized legal documents, policies, and advice that reflect your firm’s structure and obligations.
• Representation and Advocacy: In the event of regulatory action, we advocate on your behalf and guide you through the legal process.  We also partner with securities litigation law firms, when necessary. 
• Solicitor-Client Privilege: Generally, most communications with your lawyers are protected by solicitor-client privilege under Canadian law, ensuring confidentiality and fostering open, candid dialogue between legal counsel and client. 

Contact Nancy Mehrad at nancy@registrantlaw.com  today to learn more about our regulatory compliance advice practice.