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Capital Markets

Our clients choose us for our extensive experience and knowledge in the capital raising and public company area

Overview

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 initial start-up through to maturity. 

Our clients include startup and high growth companies as well as multinational corporations and financial institutions, venture capital and private equity funds dealers, advisors, investment fund managers and market participants engaged in capital market activities in Canada, the United States and internationally.

BAX Securities Law™ advises on:

  • Public and private equity, debt and crypto asset financings including private placements, initial public offerings, short form and shelf prospectuses;
  • Exchange listings on the TSX, the TSXV and the CSE;
  • 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;
  • Special transactions such as rights offerings, issuer bids, insider bids, related party transactions, shareholder rights plans, registration rights agreements;
  • Obtaining registration as dealers, portfolio managers and investment fund managers under National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations, and the related SRO rules.
  • 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.

Key Contacts

Barbara Hendrickson

Barbara Hendrickson

Founder, Award Winning Securities Lawyer

Barbara has practiced in the securities and corporate areas for nearly 30 years.

News and Insights

Awards and Recognition

  • Best Lawyers Best Canadian Law Firm: BAX Securities Law™ received this award in 2025 and 2026
  • Canadian Lawyer Top Corporate Law Boutiques: BAX Securities Law™ received this award in 2016, 2027, 2018, 2019, 2020
  • The Canadian Legal Lexpert Directory: Barbara Hendrickson recognized in Corporate Finance & Securities Law