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 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.
Securities Law News
Canadian Securities Administrators Publish Amendments to National Instrument 81-105 Mutual
The Canadian Securities Administrators (CSA) recently announced the publication of final amendments to the principal distributor model (the Final Amendments)…
BCSC Issues its First Whistleblower Award
The British Columbia Securities Commission (BCSC) has made its first whistleblower award of $25,000 to an individual whose information contributed…
Canadian Securities Exchange Publishes Proposed Public Interest Rule Amendments –
CNSX Markets Inc., operator of the Canadian Securities Exchange (CSE) is proposing amendments (the Proposed Amendments) to the CSE Listing…
CSA Issues Temporary Exemptions from Collection of Certain Personal Registration
The Canadian Securities Administrators (CSA) including the Ontario Securities Commission (OSC) has published Coordinated Blanket Order 33-930 Exemptions from Requirements…
BAX Securities Law Announces May Toronto Business Lawyers Association Monthly
Toronto, May 5, 2026: BAX Securities Law is pleased to invite friends and colleagues to the next meeting on Thursday,…
BAX Securities Law Announces April Toronto Business Lawyers Association Monthly
BAX Securities Law is pleased to invite friends and colleagues to the next meeting on Thursday, April 16, 2026, at 9:30 am at Chefs…
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.