Registrant Law is a boutique Canadian securities law firm specializing in providing securities law advice and regulatory compliance. Our securities lawyers provide strategic legal services to registered firms operating in Canada’s capital markets, including portfolio managers, investment fund managers, exempt market dealers, and CIRO dealers. Our deep expertise in securities regulation ensures that our clients remain compliant, competitive, and confident in a complex legal environment.
We provide securities law advice to a wide range of securities registrants and regulated entities, including:
Our client base includes the wealth management entities of Canada's largest banks and financial institutions, small and medium sized wealth management firms, full service and order-execution only dealers, and international firms.
We offer end-to-end support for firms navigating Canada’s securities regulatory framework. Our securities law advice services include:
We provide securities law advice on compliance with key securities regulations such as NI 31-103, NI 45-106, NI 81-102, and CIRO rules.
We provide end-to-end compliance support for registered firms, including audit preparation, compliance program reviews, and the development of internal policies and procedures.
Our securities lawyers assist with regulatory audits by reviewing internal practices, addressing past findings, and offering real-time support, including drafting audit response letters.
We evaluate compliance systems to identify gaps and recommend improvements, and deliver tailored training sessions to help your team stay informed and compliant.
Our services include AML program reviews and AML Effectiveness Reviews, as well as independent compliance consulting following regulatory decisions to support remediation and strengthen your firm’s compliance framework.
We assist with the registration of firms and individuals through the National Registration Database (NRD), including changes to registration categories and other regulatory filings.
Our securities lawyers draft and negotiate a wide range of agreements, including investment management, sub-advisory, subscription, custodial, brokerage, referral, and service agreements.
We prepare client-facing documents such as disclosures, onboarding forms, and other regulatory materials to ensure transparency and compliance.
Our securities lawyers handle the preparation and submission of regulatory applications, including exemptive relief requests and notices to securities regulators.
We provide securities law advice on the development and launch of new investment products, helping you structure offerings that comply with applicable securities laws. We prepare prospectuses and other related documents for your investment funds.
Contact Nancy Mehrad at nancy@registrantlaw.com today to learn more about Registrant Law's Securities Law Advice practice.