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
Canadian Securities Regulators Publish CSA Multilateral Staff Notice 31-367 for
Securities regulators in Ontario, Alberta, British Columbia, Québec, New Brunswick, Nova Scotia and Saskatchewan (the Participating Jurisdictions), have published a…
CSA Publishes Notice and Request for Comment – Proposed Amendments
The Canadian Securities Administrators (CSA) has published CSA Notice and Request for Comment – Proposed Amendments to National Instrument 52-112…
SEC Chair Outlines “Project Crypto” in Speech
In a recent speech to the Federal Reserve Bank of Philadelphia, U.S. Securities and Exchange Commission (SEC) chair Paul S….
Structuring a Cross-Border Securities Offering: Common U.S. Exemptions for Private
Canadian companies increasingly look south of the border for growth capital, drawn by deeper U.S. markets and sophisticated investor bases….
CSE Publishes Notice 2025-006 – Notice of Approval – Amendments
CSNX Markets Inc. (CSE) has published Notice 2025-006 – Notice Of Approval – Amendments To CSE Listing Policies – Major…
CSA Publishes Notice and Request for Comment – Proposed Amendments
The Canadian Securities Administrators (CSA) has published CSA Notice and Request for Comment – Proposed Amendments to National Instrument 52-112…
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