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
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