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Securities Litigation, Enforcement And Compliance

We advise market participants and respondents in response to allegations of market misconduct. 

Overview

We assist with corporate finance reviews, compliance reviews, compliance audits, investigations and enforcement and other regulatory proceedings brought by the Ontario Securities Commission (OSC), the British Columbia Securities Commission (BCSC), the Canadian Investment Regulatory Organization (CIRO) as well as stock exchanges including the TSX, the TSX Venture Exchange and the CSE. We also represent whistleblowers who wish to submit a whistleblower report to the OSC or another securities commission in response to allegations of insider trading and tipping, misleading disclosures, compliance deficiencies, securities fraud, accounting issues, market manipulation and other instances of market misconduct. 

We also represent clients on claims arising out of alleged securities fraud and misrepresentations, claims against investment dealers, advisors, investment fund managers, as well as claims against investment funds, REITS and other investment vehicles, in respect of problematic investment products, and investment strategies 

Our founder, Barbara Hendrickson, is a former senior legal counsel at the OSC and has participated in a number of OSC securities advisory committees. Barbara brings decades of experience and knowledge of OSC decision making, and personnel and enforcement practices to assess and provide a detailed strategy to resolve your matter.

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, 2017, 2018, 2019, 2020
  • The Canadian Legal Lexpert Directory: Barbara Hendrickson has been repeatedly recognized in the Corporate Finance & Securities Law area.