Financial Services Regulation
The financial services industry in Canada is constantly adapting to a complex and ever-changing regulatory landscape.
Overview
BAX Securities Law™ has direct experience dealing with Canadian financial services regulatory bodies including FSRA, FINTRAC and OSFI and can assist with risk -management and compliance strategies.
We advise a wide range of participants in the financial services area including banks, credit unions, insurance companies, pension plans, investment dealers and other financial institutions on a wide range of issues including the establishment of new entities, products and the federal and provincial regulatory compliance requirements.
BAX Securities Law™ advises payment processors and participants in the Blockchain, FinTech and crypto asset sectors on federal regulatory requirements including registration as a money service business (MSB) with FINTRAC; FINTRAC’s anti-money laundering regulations, and the Bank of Canada’s regulatory framework for payment processors.
BAX Securities Law™ also advises mortgage lenders, administrators and brokers with respect to FSRA compliance requirements including enhanced ‘know your client’, suitability requirements and navigating the syndicated mortgages rules.
If you are a mortgage broker, administrator or agent facing an allegation by FSRA of non-compliance with the regulations set out in the Financial Services Regulatory Authority of Ontario Act or the Mortgage Brokerages, Lenders and Administrators Act, BAX Securities Law™ can assist.
The financial services industry in Canada is constantly adapting to a complex and ever-changing regulatory landscape. BAX Securities Law™ has direct experience dealing with Canadian financial services regulatory bodies including FSRA, FINTRAC and OSFI and can assist with risk-management and compliance strategies.
Key Contacts
Barbara Hendrickson
Founder, Award Winning Securities Lawyer
Barbara has practiced in the securities and corporate areas for nearly 30 years.
News and Insights
BAX Securities Law’s Barbara Hendrickson speaker a Ukraine Bar Association
Barbara Hendrickson, founder and Managing Partner of BAX Securities Law, was a guest speaker at the III Annual International Scientific…
Barbara Hendrickson re-appointed to BCSC Fintech Advisory Forum
Barbara Hendrickson, founder and Managing Partner of BAX Securities Law, has been reappointed to a third two-year term as member…
BAX Securities Law Announces March Toronto Business Lawyers Association Monthly Meeting
BAX Securities Law is pleased to invite friends and colleagues to the next meeting on Thursday, March, 19, 2026, at 9:30 am at Chefs…
CIRO Publishes Proposed Consolidation Rules for Comment
The Canadian Investment Regulatory Organization (CIRO) is republishing for further comment the complete proposed consolidated rules (Proposed CIRO Rules) for…
BAX Securities Law Announces February Toronto Business Lawyers Association Monthly
Toronto, February 3, 2026: BAX Securities Law is pleased to invite friends and colleagues to the next meeting on Thursday, February…
BAX Securities Law Welcomes Robb Miller
BAX Securities Law is pleased to welcome Robb Miller to its legal team. With over 15 years’ experience as a corporate…
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