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 dealers 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’, suitability requirements and navigating the 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 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.

Key Contacts

Barbara Hendrickson

Founder, Award Winning Securities Lawyer

Barbara has practiced in the securities and corporate areas for nearly 30 years.