People who wish to raise capital, sell investments, or advise on investments must register with the securities regulator. There are several categories of registration and the registration process can be intimidating. We help dealers and advisors with applications for registration, which includes giving you all the documentation you need to make sure you stay on the right side of compliance.
We also provide ad hoc and ongoing compliance advice and training. We update policies and procedures whenever there are significant changes to the rules, including changes to anti-money laundering and privacy rules. We can help with your Know Your Product due diligence.
If you are a registered firm and you are expecting an audit from FINTRAC or your securities regulator, we can help you prepare for that. We also act as compliance monitor for firms that have had difficulties with their audits.
Companies looking for investment have to comply with rules governing the raising of capital. Unless you are raising money through a listing on a stock exchange, you are likely raising money in the private markets. We can help draw up the documents you need (offering memoranda, subscription agreements, and the like) and help you file reports of exempt distribution that you must make to the regulators.
If you are crowdfunding, we can help with that as well.
In addition, we can advise you on your corporate governance requirements.