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 two service 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 CIRO 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: audit preparation ("mock 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
• Anti-Money Laundering including AML effectiveness reviews
• Independent compliance consultant engagement following a regulatory decision
**Our LinkedIn posts and likes are not endorsements, recommendations or legal advice.**
Company Details
- Address
- 130 Adelaide St W, 2929,canada
- Industry
- Law Practice
- NAICS
-
Offices of Lawyers
- Website
- http://www.registrantlaw.com
- Keywords
- Securities Lawyer, Securities Regulatory, Securities Compliance, Securities Registration, Canadian Securities Lawyer, Freelance Securities Lawyers, In-House Counsel Securities Lawyers, Regulatory Compliance, Compliance Manual Updates, OSC Registration, Firm Registration, Compliance Audits, AML Effectiveness Reviews, Compliance Reviews, Securities Marketing Reviews.
- HQ
- Toronto, Ontario
- Competitors
- Nava ELMI Immigration Law Firm, The Bobb Law Firm PLLC, Blair Law Firm P.C., Jeffrey Smart | Oshawa Criminal Law Firm, Balawan Law Firm, Jahanshahi Law Firm, Lak Law Firm, Hum Law Firm Employment Law, PRESTIGE LAW: Canadian Immigration & Personal Injury Law Firm, Kalfa Law Firm - Business and Private M&A Lawyers.
Registrant Law Questions
Registrant Law's website is http://www.registrantlaw.com
Registrant Law's LinkedIn profile is https://ca.linkedin.com/company/registrant-law
Registrant Law's industry is
Law Practice
Registrant Law's top competitors are
Nava Elmi Immigration Law Firm,
The Bobb Law Firm Pllc,
Blair Law Firm P.c.,
Jeffrey Smart | Oshawa Criminal Law Firm,
Balawan Law Firm,
Jahanshahi Law Firm,
Lak Law Firm,
Hum Law Firm Employment Law,
Prestige Law: Canadian Immigration & Personal Injury Law Firm,
Kalfa Law Firm - Business And Private M&a Lawyers.
Registrant Law's categories are Law Practice
