BAX financial services

Financial Services Regulation


The financial services industry in Canada is constantly adapting to a complex and ever-changing regulatory landscape.

BAX has direct experience deal with Canadian financial services regulatory bodies including FSRA, FINTRA and OSFI and can assist with risk -management and compliance strategies and dealing with these regulatory bodies.

BAX’s financial services practice provides, mortgage lenders, administrators and brokers, loan originators and buyers, and consumer finance companies, with respect to their mortgage businesses including compliance with the 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, we can assist.

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

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