Regulatory Compliance

As the regulatory landscape becomes increasingly integral to investment management operations, our team of corporate and securities lawyers can be trusted to meet your initial and ongoing regulatory and compliance needs.   We work closely with a broad range of clients, provincial securities regulators and other industry participants to monitor securities legislation, regulatory rulings and industry policies, procedures and practices. Using a customized compliance program, we are able to assist in registration, compliance and enforcement matters.  Our legal expertise and industry experience allows us to confidently advise your firm of its obligations while allowing you to focus on managing your business.

Our securities lawyers will work closely with you in various areas including:

New Registrant Support

  • Assist firms and individuals obtain registration with provincial securities regulators and self-regulatory organizations
  • Advise new registrants of various compliance obligations
  • Negotiate with provincial and federal regulators on behalf of clients
  • Guidance on pending derivatives registration regime

Compliance Documentation

  • Draft written policies and procedures manuals and supporting documents
  • Prepare managed account agreements, subscription agreements and related account opening documentation to comply with securities rules and regulations

Regulatory Filings

  • Prepare and file or assist firms with completing filings to regulators
  • Provide reminders to firms of relevant filing deadlines
  • Exemptive relief applications

Compliance Training

  • Customized training sessions that can cover all of a firm’s compliance obligations or focus on key issues

Ongoing Reviews

  • Conduct a mock audit of a firm’s compliance regime to ensure it is compliant with both securities and anti-money laundering rules and regulations as well as following industry best practices

Audit Assistance

  • Support firms during compliance reviews from securities regulators
  • Formulate and apply action plans to respond to regulatory review letters

 

Helpful Resources

Ontario Securities Commission
Canadian Securities Administrators 

Contact

Please contact Erez Blumberger for more information about how we can assist you with regulatory compliance matters.

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