BAX Securities Law has been recognized as one of Canada’s leading law firms and has earned rankings in Best Law Firms Canada compiled by Best Lawyers and in Canadian Lawyer Magazines Top Corporate Law Firms in Canada

We assist our clients in dealing with securities regulatory requirements in today’s fast changing environment from the initial start-up through to maturity. 

Our clients include private and public entities including corporations, trusts and limited partnerships listed on the TSX, the TSXV and the CSE, startups and high growth companies as well as well-known multinational and financial institutions, venture capital and private equity funds engaged in capital market activities in Canada, the United States and internationally.

We advise Canadian and American dealers, advisors, investment fund managers and market participants on the regulations of securities, derivatives, commodities in compliance with Canadian Self-Regulatory Organization (SRO) rules as well as  securities, commodity futures and marketplace legislation. 

BAX advises on:

• Public and private equity, debt and crypto asset financings including private placements, initial public offerings, short form and shelf prospectuses, and securities token offerings (STOs);
• Exchange listings on the TSX, the TSXV and the CSE;
• STO offerings of crypto assets and associated securities regulatory requirements and registrations;
• Ongoing compliance with securities continuous disclosure requirements for public and exchange listed companies including insider reporting, early warning and alternative monthly reporting;
• Mergers and acquisitions, reorganizations and restructurings including business combinations, plans of arrangements, takeovers (RTOs), CPC transactions, going private transactions, and contested and friendly take-over bids; and
• Special transactions such as rights offerings, issuer bids, insider bids, related party transactions, shareholder rights plans, registration rights agreements,registration requirements and available exemptions.
• Obtaining registration and fulfilling obligations under National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations, and the related SRO rules.
• Applying for regulatory relief as necessary.
• Anti-money laundering, terrorist reporting, privacy and anti-spam legislation. 

We assist our clients with the complex regulatory standards and compliance requirements which characterize the Canadian capital markets.