Registrant Law

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.**