Marsha Gerhart Email & Phone Number

If you are a registered dealer, fintech, crypto-trading platform, regulator or other participant in the Canadian financial services and investment management industry, I can help you understand, navigate and work with Canadian securities regulation and reduce regulatory risk.With 30+ years of working in the Canadian financial services and investment management industry in Canada as a senior regulator, strategic regulatory adviser and lawyer I understand how challenging this industry can be for businesses and regulators.For businesses operating or looking to operate in a regulated environment, it can be intimidating to engage with regulators and challenging to ensure you have effective and efficient compliance that responds to regulatory concerns but still allows you to grow your business.For regulators, it can be challenging to balance the public interest, investor protection and the interests of many other industry participants to achieve appropriate and effective regulation without adding unnecessary regulatory burden.Some specific issues and challenges I help people and businesses with are:- understanding regulatory requirements and the intent behind them to help businesses achieve effective and efficient compliance- how to communicate effectively with regulators and build an effective regulatory communication strategy for their business and the training of management and team members- how to respond to regulatory audit concerns and investigations and work toward a mutually satisfactory resolution- finding a way to bring new products or services to market that fit within the regulatory regime.I work with financial services and investment industry participants operating or looking to operate in Canada - at any stage of development from start-up to mature. I am available for short and long term engagements. Now is the best time to address your regulatory issues. Message me to arrange a call to determine how I can help.