Securities Regulatory Compliance

Regulatory compliance for portfolio managers, investment fund managers and exempt market dealers is becoming more and more complex and costly.  Steven London has over 20 years of experience working with  Canadian financial services companies and investment fund managers, including ten years as general counsel and chief compliance officer.  If you need experienced counsel, please contact us.

Compliance Policies and Manuals

Have you committed to review and update your compliance manual each year?  Do you need to add a new policy to address recent regulatory initiatives or to address an audit deficiency? If you don't have the internal resources or require an independent perspective, contact us.

Regulatory Audits

Are you concerned about an area of your business and want experienced counsel to perform an independent internal audit?  Are you the subject of a regulatory audit and need experienced counsel?  

Anti-Money Laundering Training

Do you have the internal resources to meet your regulatory obligations to train your staff on anti-money laundering?  We can provide training on a cost-effective basis.

Client Reporting

Do you have private clients or fund investors?  The rules around client reporting are complex and detailed. Contact us to audit your existing templates or to help your team create documents that meet regulatory standards.

Litigation Support

Do you require an opinion on securities regulatory compliance matters?  Contact us for a confidential discussion.