Investment Funds
Our clients choose us for our expert advice on investment fund structuring and management
Overview
BAX Securities Law™ advises on fund investment activities from fund formation, product development, marketing and sales, operations, regulatory compliance and regulatory investigations.
BAX Securities Law™ advises on:
- BAX Securities Law™ provides legal and regulatory advice to investment funds, dealers portfolio managers and investment fund managers regarding their regulatory registration, reporting and compliance requirements as well as applicable prospectus and registration exemptions.
- We assist with the formation of ETFs, pooled funds, private equity funds, venture capital funds, mortgage investment entities, closed-end funds and real estate funds including REITs and limited partnerships.
- We advise on various asset classes including equity, debt, commodities, derivatives and digital assets.
- We advise dealers, advisers and investment fund managers on registration and compliance matters.
- If you would like to put up an investment fund in Canada and require advice on structuring and developing the fund as well as applicable securities and financial services regulatory requirements, we can assist.
Key Contacts
Barbara Hendrickson
Founder, Award Winning Securities Lawyer
Barbara has practiced in the securities and corporate areas for nearly 30 years.
News and Insights
Structuring a Cross-Border Securities Offering: Common U.S. Exemptions for Private
Canadian companies increasingly look south of the border for growth capital, drawn by deeper U.S. markets and sophisticated investor bases….
CSE Publishes Notice 2025-006 – Notice of Approval – Amendments
CSNX Markets Inc. (CSE) has published Notice 2025-006 – Notice Of Approval – Amendments To CSE Listing Policies – Major…
CSA Publishes Notice and Request for Comment – Proposed Amendments
The Canadian Securities Administrators (CSA) has published CSA Notice and Request for Comment – Proposed Amendments to National Instrument 52-112…
Budget 2025 Introduces a Regulated Space for Stablecoins
Budget 2025 which was recently passed in the Canadian House of Commons, announced the government’s intention to introduce legislation to…
2026 Best Law Firms in Canada Guide: BAX Securities Law
In the second edition of the Best Law Firms in Canada Guide, BAX Securities Law once again has been named one…
BAX Securities Law Announces November Toronto Business Lawyers Association Monthly
Toronto, November 7, 2025: BAX Securities Law is pleased to invite friends and colleagues to the next meeting on Thursday…
Awards and Recognition
- Best Lawyers Best Canadian Law Firm: BAX Securities Law™ received this award in 2025 and 2026
- Canadian Lawyer Top Corporate Law Boutiques: BAX Securities Law™ received this award in 2016, 2027, 2018, 2019, 2020
- The Canadian Legal Lexpert Directory: Barbara Hendrickson recognized in Corporate Finance & Securities Law