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 dealer 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 and suitability requirements and navigating the new 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 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 Welcomes Robb Millar
BAX Securities Law is pleased to welcome Robb Millar to its legal team. Specializing in AI governance and technology law, Robb…
CSA Reduces Regulatory Burden for Continuous Disclosure for Investment Funds
The Canadian Securities Administrators (CSA) have published a series of Final Amendments are designed to reduce the regulatory burden on…
Canadian Securities Regulators Announce Updated Derivatives Trade Reporting FAQs
The Canadian Securities Administrators (CSA) have published CSA Staff Notice 96-307 (Revised)Frequently Asked Questions about Derivatives Trade Reporting (the Staff…
BAX Securities Law Announces January Toronto Business Lawyers Association Monthly
Toronto, January 7, 2026: BAX Securities Law is pleased to invite friends and colleagues to the next meeting on Thursday,…
British Columbia Securities Regulators Publish BC Instrument 33-521, Relief from
The British Columbia Securities Commission (BCSC) has published BC Instrument 33-521, Relief from sections of NI 33-109 Registration Information related…
Canadian Securities Regulators Provide Guidance for Social Media Influencers and
The Canadian Securities Administrators (CSA) and Canadian Investment Regulatory Organization (CIRO) (the regulators) have released Joint Canadian Securities Administrators and…
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