Practice Areas

Securities Law Advice

Securities Law Advice

Securities Law Advice

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

Registration matters

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

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

Advice on product development, including digital and online offerings

Reviewing sales communications

Preparing exemptive relief applications

Regulatory Compliance

Securities Law Advice

Securities Law Advice

Advice on compliance with new or revised legislations (e.g. Client Focused Reforms, NI 31-103 amendments re Vulnerable Investors)

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

Training on compliance with securities regulation

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