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