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    • Home
    • Services
      • Practice Areas
      • Service Models
      • CFRs l Registration
    • About us
      • Nancy Mehrad, CEO
      • Jonathan Woode
      • We're growing!
    • Publications & Events
      • Publications
      • Events
    • Contact us
  • Home
  • Services
  • About us
  • Publications & Events
  • 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


  • 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



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