Registrant Law

Law Firms & Legal Services · Canada · <25 Employees

Registrant Law is a boutique securities law firm based in the Toronto area, providing quality, practical and cost-effective Canadian securities law & securities regulatory compliance advice to portfolio managers, investment fund managers, and dealers. We offer twoservice models: (1) advice at a competitive hourly rate and fixed-fees, and (2) in-house counsel services - an alternative to hiring a contract or part-time securities lawyer. Please see website for details: www.registrantlaw.com or contact Founder, CEO and Securities Lawyer, Nancy Mehrad, at nancy@registrantlaw.com. Practice areas include: Advice on securities law obligations, including NI 31-103, NI 81-102 and IIROC/MFDA rules Registration of firms and individuals - initial firm registration with securities regulators, and updates to registrations Drafting and negotiating agreements, including IMAs, sub-advisory, custodial, brokerage, service, and referral agreements Drafting and updating client agreements, investment management agreements, disclosures and forms Advice on product development, including digital and online offerings Preparing exemptive relief applications Assistance with advocacy efforts Advice on compliance with new or revised legislations (e.g. Client Focused Reforms) Audit reviews: preparation for audits, review of previous audit findings and assistance with remediating deficiencies, live support during audit, including assisting with audit response letters Firm compliance reviews: reviewing current processes and procedures for regulatory compliance Preparing and updating policies and procedures (Compliance Manuals), client onboarding forms and client disclosures Marketing and sales communication reviews Training on compliance with securities regulation Anti-Money Laundering including AML effectiveness reviews Independent compliance consultant engagement following a regulatory decisionRead More

View Company Info for Free