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PRACTICE AREAS

The firm offers a wide array of legal and consulting services, customized to fit the unique needs of small- and medium-sized securities dealers and marketplaces, in Canada and the United States.

 Securities Law

  • Advice concerning interpretation and application of Canadian and U.S. securities legislation, regulations, and guidance, as well as IIROC and FINRA Rules and policy guidance

  • Consultation and advocacy relating to proposed and approved regulatory amendments

  • Preparation of application for initial approval of regulated marketplaces (ATSs), including drafting mandatory policies and procedures

 Compliance and  Regulatory Support

  • Preparation of amendment filings for regulated marketplaces (ATSs)

  • Assistance with compliance exams, including responses to audit requests and deficiency determinations

  • Assistance with updates to registration and approval filings

  • Submissions concerning new and modified business lines/models

  • Regulatory exemption requests

  • Annual AML and compliance training

 

 Enforcement  Defence 

  • Planning, executing, and documenting internal investigations

  • Assistance with mandatory incident and suspected regulatory violation reporting to regulators

  • Assistance with investigation requests

  • Conducting settlement negotiations

  • Defense representation in disciplinary enforcement actions

 

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