Securities Regulation & Enforcement

BAX Securities Law provides advice to exempt market dealers; restricted dealers; crypto trading platforms; investment dealers; portfolio managers; registered advisors; investment fund managers as well as insiders, shareholders, officers and directors of public companies respecting their obligations under securities law.

BAX Securities Law assists 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.

    BAX Securities Law is one of Canada's leading corporate securities law firms. 

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