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
Canadian Securities Regulators Publish CSA Multilateral Staff Notice 31-367 for
Securities regulators in Ontario, Alberta, British Columbia, Québec, New Brunswick, Nova Scotia and Saskatchewan (the Participating Jurisdictions), have published a…
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…
SEC Chair Outlines “Project Crypto” in Speech
In a recent speech to the Federal Reserve Bank of Philadelphia, U.S. Securities and Exchange Commission (SEC) chair Paul S….
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…
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