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
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…
Canadian Securities Regulators Greenlight Project Samara
The Ontario Securities Commission (OSC), the Autorité des marchés financiers (AMF) and the Canadian Investment Regulatory Organization (CIRO) (the Canadian…
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…
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.