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Registrant Regulation & Compliance

Securities regulations and compliance expectations and standards are becoming increasingly complex on a global scale. Whether you are a portfolio manager, an investment fund manager or a dealer, you need advice and support from lawyers who not only understand your business and the laws that affect your business, but focus exclusively on registrants.
BLG is home to Canada’s largest securities registrant regulation and compliance practice. 

We are dedicated to understanding and resolving your regulatory and legal issues. We assist our registrant clients, both Canadian and international, with initial start-up, establishment of compliance and operational systems and ongoing advice and support. 

We offer advice on structuring and offering funds, including hedge, private equity/venture capital and alternative funds, pursuant to private placements and public offerings to comply with Canadian securities laws.

Experience

  • Assist firms and their personnel in attaining and maintaining registered status with Canadian securities regulators and, as applicable, as members of SROs.
  • Assist firms and their personnel in understanding the registration and reporting regimes associated with futures and other derivatives trading and management.
  • Develop, design, review and assess compliance procedures and practices relating to regulatory and internal policy requirements, including derivative usage.

Key Contacts

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