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.
Capital Markets Law News and Insights
CSA Publishes Updated Cybersecurity Findings and Guidance for Registered Firms
The Canadian Securities Administrators (CSA) have published CSA Staff Notice 33-322 Review of Registered Firms’ Cybersecurity Practices and Additional Guidance…
CSA Seeks Comment on Modernizing the Regulation of Public Companies
The Canadian Securities Administrators (CSA) has published CSA Consultation Paper 51-406 Modernizing the Regulation of Public Companies (the Consultation Paper)…
Canadian Securities Administrators Published Amendments to Allow Higher Limits for
The Canadian Securities Administrators (CSA) has published proposed amendments to National Instrument 45-106 Prospectus Exemptions and changes to the Companion…
Whistleblowing in Canada
When news of a whistleblowing award becomes public in Canadian financial circles it usually makes news; not only from the…
Canadian Securities Administrators Publish Amendments to National Instrument 81-105 Mutual
The Canadian Securities Administrators (CSA) recently announced the publication of final amendments to the principal distributor model (the Final Amendments)…
BCSC Issues its First Whistleblower Award
The British Columbia Securities Commission (BCSC) has made its first whistleblower award of $25,000 to an individual whose information contributed…
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, 2017, 2018, 2019, 2020
- The Canadian Legal Lexpert Directory: Barbara Hendrickson has been repeatedly recognized in the Corporate Finance & Securities Law area.