Regulatory Compliance & Enforcement
We assist with investigations and enforcement proceedings brought by the Ontario Securities Commission (OSC) and other provincial securities commissions, the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) as well as Canadian stock exchanges including the TSX, the TSX Venture Exchange and the CSE.
Our aim is to resolve, where practical, cases at the investigation stage through responses to inquiry letters and enforcement notices and if possible, negotiate settlement agreements.
We act for dealers, advisors and other registrants as well as insiders, issuers, shareholders, officers and directors of public and private companies to respond to and resolve compliance and enforcement investigations.
We also assist our clients on taking proactive measures to ensure compliance with securities law requirements and provide advice on how to navigate the evolving securities laws.