Securities Regulation
Senior lawyers providing assistance to financial services and capital markets clients
Overview
BAX Securities Law™ has direct experience dealing with Canadian securities and financial services regulatory bodies including the Ontario Securities Commission , FSRA and FINTRAC.
Our clients include Canadian and non-Canadian private and public companies, financial services, firms, accounting firms, and their officers, directors, employees. We also advise boards and committees in enforcement proceeding in response to allegations of insider trading, misleading disclosure, securities fraud, accounting issues, market manipulation and other instances of market misconduct.
We assist with, and respond to, 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 also provide advice to brokers, investment dealers and individual registrants in connection with investigations, arbitrations processes and civil proceedings including action brought against brokers and dealers for losses sustain in their brokerage accounts.
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, personnel and enforcement practises to assess your matter and provide a detailed strategy to resolve your matter.
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