BAX 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 highly respected withing the securities industry and 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.