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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™ provides legal and regulatory advice to investment fund dealers, portfolio managers and investment fund managers regarding their regulatory registration, reporting and compliance requirements as well as applicable prospectus and registration exemptions.

If you would like to create and manage 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.

BAX Securities Law™ advises:

  • on 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;
  • on various asset classes including equity, debt, commodities, derivatives and digital assets; and
  • investment dealers, exempt market dealer, advisers and investment fund managers on registration and compliance matters.

We also advise sponsors and managers of Private Equity and Venture Capital funds through every stage in the investment life cycle, from fund structuring formation and capital raising to exiting investments and the return of capital to investors. 

Key Contacts

Barbara Hendrickson

Barbara Hendrickson

Founder, Award Winning Securities Lawyer

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

News and Insights

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