Practice Areas (securities law, in-house counsel, regulatory compliance)
Securities Law Advice
Regulatory Compliance Advice
Regulatory Compliance Advice
Advice on securities law obligations, including NI 31-103, NI 45-106, NI 81-102 and CIRO rules
Securities law advice to foreign firms located outside Canada
In-house counsel services
Advice on securities registration matters, including requirement to register, and registration exemptions
Registration of firms and individuals - both domestic and foreign firms
Regulatory filings
Drafting and negotiating agreements, including investment management agreements, sub-advisory, subscription, custodial, brokerage, service, and referral agreements
Drafting and updating client onboarding documentation including KYC forms, investment policy statements, relationship disclosure information
Advice on product development
Preparing regulatory applications, including exemptive relief applications and notice to regulators
Privacy law
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 securities laws (e.g. Client Focused Reforms, Registration Amendments)
Audit reviews: preparation for audits, review of previous audit findings and assistance 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 AML Effectiveness Reviews
Independent compliance consultant engagement following a regulatory decision