Securities Regulation
We provide advice to exempt market dealers, restricted dealers, crypto trading platforms, investment dealers, portfolio managers, investment funds, registered advisors and investment fund managers registration requirements including proficiency requirements, compliance manuals, business plans, contingency planning, anti-money laundering legislation, and account opening documentation.
We assist with compliance proceedings brought by the Ontario Securities Commission (OSC) and other provincial securities commissions, the Canadian Investment Regulatory Organization (CIRO) as well as Canadian stock exchanges including the TSX, the TSX Venture Exchange and the CSE.
We act for dealers, advisors and other registrants as well as insiders, issuers, shareholders, officers and directors of public and private companies to respond to and resolve compliance investigations initiated by the OSC.
BAX Securities Law is one of Canada's leading corporate securities law firms.
Join Our Mailing List To Receive News and Updates
©2024 BAX Securities Law
365 Bay Street, Suite 200
Toronto, ON M5H 2V1