CFR Compliance Check * Registration Changes

Registrant
Law

Registrant LawRegistrant LawRegistrant Law

Registrant
Law

Registrant LawRegistrant LawRegistrant Law
  • Home
  • Services
    • Practice Areas
    • Service Models
    • CFRs l Registration
  • About us
    • Our Team
    • Nancy Mehrad, CEO
    • Craig McFarlane
    • We're growing!
  • Publications & Events
    • Publications
    • Events
    • Subscribe
  • Contact us
  • More
    • Home
    • Services
      • Practice Areas
      • Service Models
      • CFRs l Registration
    • About us
      • Our Team
      • Nancy Mehrad, CEO
      • Craig McFarlane
      • We're growing!
    • Publications & Events
      • Publications
      • Events
      • Subscribe
    • Contact us
  • Home
  • Services
    • Practice Areas
    • Service Models
    • CFRs l Registration
  • About us
    • Our Team
    • Nancy Mehrad, CEO
    • Craig McFarlane
    • We're growing!
  • Publications & Events
    • Publications
    • Events
    • Subscribe
  • Contact us

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


  • Advice on registration matters, as well as registration of firms and individuals


  • Drafting and negotiating agreements, including investment management agreements, sub-advisory, 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 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 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 


  • Independent compliance consultant engagement following a regulatory decision



Copyright © 2023 Registrant Law - All Rights Reserved.

  • Terms of Use
  • Privacy Policy