Securities Law
We assist portfolio managers, exempt market dealers and investment fund managers with:
- Applying for and maintaining registration with the Ontario Securities Commission
- Compliance with know your client (KYC), suitability and conflicts of interest rules
- Applications for exemptive relief
- Developing and updating compliance policies and procedures
- Regulatory compliance reviews and audits
- Asset management, sub-advisory and referral arrangements
- Formation, management and administration of investment funds
- Preparing offering documents and subscription documents
- Compliance with disclosure obligations