Practice Profile

Registration & Compliance

Cassels Brock has focused on securities registration, litigation, regulatory defence of dealers and compliance matters as a discrete practice area for many years, and has established one of Canada’s leading practices in the area. Our Registration and Compliance Group has worked on all aspects of securities regulatory projects, including some of the most significant regulatory transactions in Canada.  Our experience enables us to provide valuable service to our clients. Our strong working relationship with the regulators across Canada puts our clients onto a solid footing in all regulatory matters. Our views are respected by regulators and the results we achieve for our clients reflect this.

We understand the business of being a dealer, adviser or investment fund manager in the Canadian securities industry. We tailor our services to fit our clients’ business needs, objectives and budgets. Over the years, we have provided advice to, among others, the following registrants:

Our Registration and Compliance Group has been involved with all aspects of securities registration, litigation, regulatory defence and compliance in Canada, including: