Registrant Regulation

We provide ongoing corporate, securities and regulatory advice to exempt market dealers, investment dealers, portfolio managers, investment funds, registered persons and investment fund managers.

We provide advice in the following areas, registration with the securities regulatory authorities including advice on proficiency requirements, assist with the development of compliance manuals and supporting documentation, business plans, contingency planning, anti-money laundering rules and regulations; account opening documentation, know your clients and suitability requirements in a paper and online format.

We also provide support and advice to registrants on meeting ongoing compliance obligations and assist with compliance audits and dealing with letters and inquiries from securities regulatory authorities across Canada.

Barbara Hendrickson and Donna Leitch both have extensive experience dealing with securities regulatory requirements for registrants and capital market participants.

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

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