BAX financial services

Financial Services Regulation & Enforcement


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.

BAX 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 also provides, mortgage lenders, administrators and brokers with respect to their mortgage businesses including compliance with 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 can assist.

BAX Securities Law is one of Canada's leading corporate securities law firms. 

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