Securities Enforcement
Assisting market and financial services participants with compliance audits and enforcement actions
Overview
Our experienced team provides advice to individuals and corporate entities who find themselves the subject of securities regulatory actions.
BAX Securities Law™ has extensive experience in assisting capital market participants with regulatory and enforcement issues. Our clients include public and private companies, financial services firms, brokers, investment dealers, securities registrants, accounting firms and their directors, officers, board committees as well as majority shareholders.
BAX Securities Law™ assists clients with responding to, and resolving, enforcement and compliance proceedings brought by the Ontario Securities Commission (OSC) and other provincial securities commissions, the Canadian Investment Regulatory Organization (CIRO) as well as stock exchanges including the TSX, the TSX Venture Exchange and the CSE.
We represent public companies on internal investigations, compliance audits and enforcement proceeds in respect of insider trading, disclosure requirements, securities fraud, accounting issues, market manipulation and other misconduct.
Our founder Barbara Hendrickson has decades of experience dealing with securities regulators in both Ontario and British Columbia including as senior legal counsel at the Ontario Securities Commission. Barbara has also participated in numerous securities advisory committees in both Ontario and British Columbia. Drawing on her years of experience, Barbara is able to assess your matter and suggest strategies to mitigate or eliminate your enforcement risk.
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
BAX Securities Law Welcomes Robb Millar
BAX Securities Law is pleased to welcome Robb Millar to its legal team. Specializing in AI governance and technology law, Robb…
CSA Reduces Regulatory Burden for Continuous Disclosure for Investment Funds
The Canadian Securities Administrators (CSA) have published a series of Final Amendments are designed to reduce the regulatory burden on…
Canadian Securities Regulators Announce Updated Derivatives Trade Reporting FAQs
The Canadian Securities Administrators (CSA) have published CSA Staff Notice 96-307 (Revised)Frequently Asked Questions about Derivatives Trade Reporting (the Staff…
BAX Securities Law Announces January Toronto Business Lawyers Association Monthly
Toronto, January 7, 2026: BAX Securities Law is pleased to invite friends and colleagues to the next meeting on Thursday,…
British Columbia Securities Regulators Publish BC Instrument 33-521, Relief from
The British Columbia Securities Commission (BCSC) has published BC Instrument 33-521, Relief from sections of NI 33-109 Registration Information related…
Canadian Securities Regulators Provide Guidance for Social Media Influencers and
The Canadian Securities Administrators (CSA) and Canadian Investment Regulatory Organization (CIRO) (the regulators) have released Joint Canadian Securities Administrators and…
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