Practice Areas

Securities Law Advice

Regulatory Compliance Advice

Regulatory Compliance Advice

Advice on securities law obligations, including NI 31-103, NI 81-102 and IIROC/MFDA rules

Registration of firms and individuals - initial firm registration with securities regulators, and updates to registrations

Drafting and negotiating agreements, including IMAs, sub-advisory, custodial, brokerage, service, and referral agreements

Drafting and updating client agreements, investment management agreements, disclosures and forms

Advice on product development, including digital and online offerings

Preparing exemptive relief applications

Assistance with advocacy efforts, including preparing comments letters to regulators on rule proposals

Regulatory Compliance Advice

Regulatory Compliance Advice

Regulatory Compliance Advice

Advice on compliance with new or revised legislations (e.g. Client Focused Reforms, Registration Amendments)

Audit reviews: preparation for audits, review of previous audit findings and assisstance with remediating deficiencies, live support during audit, including assisting with audit response letters

Firm compliance reviews: reviewing current processes and procedures for regulatory compliance

Preparing and updating policies and procedures (Compliance Manuals), client onboarding forms and client disclosures

Marketing and sales communication reviews

Training on compliance with securities regulation

Anti-Money Laundering, including two-year effectiveness reviews and risk assessments

Independent compliance consultant engagement following a regulatory decision