Our experienced team provides advice to individuals and corporate entities who find themselves the subject of securities regulatory actions

BAX Securities law has extensive experience in assisting capital market participants with regulatory and enforcement issues. Our clients include public and private companies, financial services firms, brokers, investment dealers, securities registrants, accounting firms and their directors, officers, board committees as well as majority shareholders.

BAX Securities Law assists clients with responding to, and resolving, 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 represent public companies on internal investigations, compliance audits and enforcement proceeds in respect of insider trading, disclosure requirements, securities fraud, accounting issues, market manipulation and other misconduct.

Our founder Barbara Hendrickson has decades of experience dealing with securities regulators in both Ontario and British Columbia including as senior legal counsel at the Ontario Securities Commission. Barbara has also participated in numerous securities advisory committees in both Ontario and British Columbia. Drawing on her years of experience, Barbara is able to assess your matter and suggest strategies to mitigate or eliminate your enforcement risk.