Financial Services Regulation


The regulatory environment for mortgage brokers is constantly changing. In Ontario, the new Financial Services Regulatory Authority (FSRA), which has oversight of the province’s financial services providers, including mortgage brokers and agents, has signaled a determination to increasing regulatory oversight while at the same time centralizing regulatory authority.

BAX Securities Law recognizes that the regulatory environment is evolving. Our clients count on us to help them navigate these changes including providing the following services to mortgage brokers and administrators:

• Navigating the securities regulatory landscape on the new syndicated mortgage rules
• Assisting mortgage brokers with compliance issues when FSRA and the Ontario Securities Commission come “knocking”
• Structuring mortgage investment entities including mortgage investment corporations (MICs) and mortgage investment funds and assisting with compliance with the related securities and financial services regulatory requirements

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

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